Regulatory Compliance Analyst Resume Samples

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D Willms

Dino

Willms

3824 Jacobson Mall

New York

+1 (555) 831 0842

3824 Jacobson Mall

New York

Phone

p +1 (555) 831 0842

Experience Experience

Detroit, MI

Regulatory Compliance Analyst

Detroit, MI

Kihn Group

Detroit, MI

Regulatory Compliance Analyst

Assisting Team Leader with project work which may include increasing coverage of surveillance, implementing new systems and assisting with system testing
Conduct all aspects of the compliance review, including scoping, sampling, research, control testing, root cause analysis, and preparation of the final report
Investigating and resolving compliance and regulatory issues arising from surveillance monitoring
SME working with IT regarding maintenance and upgrades to Compliance Automated Tracking System (CATS)
Various duties: data entry, drafting reports and memoranda, auditing files, converting PDFs to Word docs, projects as assigned
Coordinate efforts and address matters arising during regulatory exams and audits (including independent model validation)
Support in the training / coaching /mentoring of team members

Phoenix, AZ

Senior Regulatory Compliance Analyst

Phoenix, AZ

Hilpert Inc

Phoenix, AZ

Senior Regulatory Compliance Analyst

Research regulations and industry developments and create reports for use by the ALPS and its clients
Establish effective business partnerships within Global Trade, functions, and business units
Support the development and maintenance of global trade automated tools (RGEMS, OCR, JCAT, etc.)
Support Import/Export Compliance team in creation and maintenance of SOP’s, desktop procedures and work instructions
Interact regularly with and provide guidance on import/export control compliance matters to internal stakeholders
Principal review and comment on sales and advertising literature for assigned fund clients (50%)
Collaborate across the enterprise with key functions and business units to ensure an aligned, properly prioritized, and holistic approach to global trade and compliance

present

Los Angeles, CA

Principal Regulatory Compliance Analyst

Los Angeles, CA

Schimmel and Sons

present

Los Angeles, CA

Principal Regulatory Compliance Analyst

present

Draft international agreements and appendices using authorized standard templates, including terms and conditions
Support the sponsoring Business to complete party due diligence on Distributors and other third parties
Revise and align Company policies related to performing international party and transactional due diligence and develop recommendations for improvement
Update, manage and maintain 3D while providing support to 3D users across the Company
Manage and coordinate front-end international agreement lifecycle activities for IBDP agreements across the Company
Support and assist in initiating and developing enhancements to 3D and RIMAD, including the development of an automated work flow tool for tracking all aspects of IBDP engagements
In cooperation with IT and Business PoC, define the specification and lead the implementation of the IBDP work flow tool

Education Education

Bachelor’s Degree in Risk Awareness That Drives Improved Performance

University of Illinois at Chicago

Bachelor’s Degree in Risk Awareness That Drives Improved Performance

Skills Skills

Ability to diplomatically convey sensitive facts and follow detailed procedures; good judgment and ability to analyze situations accurately
Highly analytical, high ethical standards, organized individual with ability to process details efficiently and accurately and exhibits excellent follow up
Strong interpersonal skills with the ability to establish credibility and foster excellent working relationships with internal and external stakeholders
Excellent knowledge of all Microsoft Office packages, with particular emphasis on Microsoft Excel and PowerPoint
Proficiency in MS excel (sort, pivot tables)
Ability to maintain excellent interpersonal relationships within the department and at all levels of the organization
Good working knowledge of SAP business system with emphasis on understanding the Procurement module is
Knowledge of or experience in the healthcare environment is highly desired
The candidate should be solidly and demonstrably literate and numerate, able to work independently and proactively
Strong customer service skills with ability to work effectively with Leadership, management and staff

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Regulatory Compliance Analyst Resume Examples & Samples

With input from Business/Compliance management determine which individuals will require registration with the UK FCA/PRA
Agree with Compliance Seniors who will require registration with one or more of the UK or European stock exchanges
Work with other members of the Regulatory Compliance Team on regulatory information requests and regulatory reporting
Manage the FCA registrations process
Deal with queries and prepare documentation for approved persons
Review HR reports of new hires, transfers and leavers and take appropriate action
Assist business with European personnel requiring registration under US SEC Rule 15a6 and Dodd Frank AP
Keep abreast of new regulation and the impact it will have on the firm’s regulatory relationship
Co-ordinate information requests from the UK regulators
Assist from time to time with regulatory reporting

Regulatory Compliance Analyst Resume Examples & Samples

Support the Surveillance group on a day to day basis to ensure all BAU activities are completed accurately and to the highest standard
Collaborate and partner closely with global colleagues, Markets Risk and Product Compliance groups to raise and resolve items identified as possible risk to the firm
Present suggestions for enhancements and identify areas for improving the current Surveillance process and procedures
Assisting Team Leader with project work which may include increasing coverage of surveillance, implementing new systems and assisting with system testing
Language skills/exposure to a number of languages including Mandarin, Hindi Spanish, Italian and French is essential
The commitment to learn how to develop, implement and run a series of proactive surveillance tools
Excellent communication skills; confident, concise, clear and impactful
Strong written and personal communication and presentation skills
Proficiency in MS excel (sort, pivot tables)
Excellent organization and prioritisation skills
Ability to communicate and share techniques used with other team members
Ability to liaise globally across all levels

Regulatory Compliance Analyst Resume Examples & Samples

Support the implementation of Corporate Compliance program for EMEA OandT organisation
Support the maintenance of the EMEA Outsourcing Risk Register
Experience in Business Planning and Analysis is preferred
Experience working with the handling and communication of complex concepts
Some experience in web design or SharePoint development would be advantageous
The candidate should be solidly and demonstrably literate and numerate, able to work independently and proactively
Excellent knowledge of all Microsoft Office packages, with particular emphasis on Microsoft Excel and PowerPoint
The candidate should show a willingness and enthusiasm for new projects, and the capacity to independently develop his/her own work streams without prompting

Regulatory Compliance Analyst Resume Examples & Samples

2+ years of experience with financial auditing, government contract auditing, or accounting or financial accounting
Experience with supporting audits
Experience with the federal acquisition regulations, cost accounting standards, and generally accepted accounting principles
Ability to demonstrate excellent spreadsheet and analytical expertise
Ability to work independently and research issues
BS, BBA, or BA degree
Experience with indirect rate structures and allocations
Experience with the review and interpretation of policies and procedures
Experience with preparing disclosure statements and cost impacts
Experience with Forward Pricing preparation
BS, BBA, or BA degree in Accounting, Business, or Economics preferred
CPA or CPA Certification preferred

Regulatory Compliance Analyst Resume Examples & Samples

Prepares summaries on regulatory issues, as assigned
Communicates regulatory changes to Credit Compliance
Works with bank partner to align on interpretation and implemention of regulatory requirements

Regulatory Compliance Analyst Resume Examples & Samples

3-5 years of financial services experience
Proficient in Microsoft Office suite (Word, Excel, PowerPoint)
Strong critical thinking and problem-solving skills
Strong interpersonal skills with the ability to establish credibility and foster excellent working relationships with internal and external stakeholders
Sound project management capabilities

Regulatory Compliance Analyst Resume Examples & Samples

Bachelor’s Degree in HMO or a related field, required
Prior work experience in a compliance, legal, or auditing function
Proficient Computer skills (including Excel, MS Word, Power Point, and Internet), required
Bilingual (English and Spanish), required
Proven analytical skills and creative thinker
Ability to interact effectively with associates across all levels of the organization
Minimum 2-4 years of healthcare/insurance/legal industry experience

Regulatory Compliance Analyst Resume Examples & Samples

Advise Operations Compliance group on regulatory risk impacts, required controls and improvement opportunities
Work independently to accomplish activities within the scope of the job that provide input to support decision-making. In many cases, rely on others’ input to fulfill accountabilities
Maintain access to confidential internal business initiatives, appropriate Bank systems and T&O-related financial and business performance data. Recommend system changes, access to systems, requirements specifications, process improvements
Escalate potential regulatory breaches to Director
Solid knowledge of process and/or project management
Solid understanding of industry practices and risk reporting fundamentals
Conceptual skills, with an ability to quickly understand concepts and translate them into meaningful information
Advanced prioritization skills
Strong planning skills (re finance, resource, strategy, business)
Strong risk management skills

Bank Regulatory Compliance Analyst Resume Examples & Samples

Partner with the Bank Regulatory Compliance Officer to ensure that Compliance policies and procedures are current, accurate and complete for Compliance related activities
Ensuring timely completion and thorough documentation of on-going monitoring and testing of the Branches' activities to ensure compliance with applicable laws, rules and regulations
Reporting to senior management within Americas Compliance & Operational Risk Control and the business regarding Compliance matters related to the Branches
Participate in regular risk assessments with Americas Compliance & Operational Risk Control colleagues
Bachelors' degree or higher
1-3 years compliance experience in the banking industry preferred
Knowledge of banking laws/regulations, specifically Federal Reserve Board and OCC regulations, including: Regulations D, K, W, U and Y
Experience at a foreign banking organization would be a positive differentiator
Strong organizational and project management skills
Periodic travel, up to 10% per year

Regulatory Compliance Analyst Corporate Lending Resume Examples & Samples

Advise Operations Compliance group on new or changed requirements for internal/ external policies and regulations
Make decisions in responding to inquiries of low to moderate risk and/or complexity, in performing cost/ business/ situational analysis, and in preparing reports and presentations
Interpret P&Ps
Support BUCO in role as SME in an advisory capacity to management on risk reporting; recommend business performance improvements
6 to 8 years’ experience in risk with either an operations and or technology background within the financial services industry
Knowledge and understanding of BMO Enterprise Compliance Program
Solid knowledge of Deposits and /or Lending Product Operations
Advanced understanding of the business unit’s risk and regulatory requirements
Solid understanding of risk inherent in area of expertise
Advanced PC skills
Strong facilitation/ presentation skills

Regulatory Compliance Analyst Retail Banking Operations Resume Examples & Samples

Monitor regulatory compliance requirements. Ensure adherence to directives, P&Ps and regulatory/ government requirements
Escalate complex issues for resolution
Collect, or be provided with, information to enable required monitoring and tracking to be conducted and to escalate if analysis suggests further action is required
University degree/college diploma or equivalent
6 to 8 years’ experience in risk management with either an operations and or technology background within the financial services industry
Solid knowledge of retail banking operations (deposits or payments) (MUST HAVE)
Solid understanding of regulatory risk and related compliance control frameworks and practices
Solid knowledge and understanding of the business unit’s key products and services, processes, controls and organization
Solid knowledge of departmental systems and applications
Solid understanding and knowledge of the business planning process, reporting cycles and requirements, protocols for sign-offs and information sharing, and key business metrics
Solid understanding of system design, databases and business intelligence techniques
Strong logic and data integration skills
Strong analytical and problem-solving skills, with solid ability to synthesis data into a coherent picture and identify key strategic points, and ability to effectively interpret key operating and risk data
Strong change management skills
Strong influencing skills to make significant change in a demanding business environment
Strong report-writing skills, with ability to document requirements, acceptance test plans, conversion and implementation plans and ability to create and organize varying forms of business information while developing it into cohesive, meaningful, professional reports and presentations
Strong written and oral communication skills, with the capability to present and articulate complex concepts

Regulatory Compliance Analyst Resume Examples & Samples

Work with business partners daily to ensure account Reg SHO obligations are properly met
Maintain and track client obligations and ensure they are resolved in a timely manner
Run and maintain an access database responsible for sending daily notifications to clients informing them of account violations
Inform client settlements and book buy-ins to satisfy the firms Reg SHO obligation
Be a flexible team player in a fast paced environment
Assist management with ad hoc projects and audits as needed

Regulatory & Compliance Analyst Resume Examples & Samples

Manage Third Party Experience; Ensuring timely and accurate processing of daily uploads to calculate payments to the partners
Exception Handling; where anomalies arise from the process, work closely with the partner to understand and resolve
Payment of valid claims; progress claims to a stage where invoices can be raised and payments made
Support and administrate the exceptions process
Support and monitor the delivery of standard measures on a monthly basis and report progress to various internal delivery channel managers
Technical Monitoring; ensure the appropriate monitoring is completed and reported
Proven track record of working in compliance
Experienced in developing processes
SAP experience and SQL reporting skills desirable but not essential
Knowledge of RdSAP calculations would be advantageous
Meticulous attention to detail is essential
Excellent analytical and Microsoft Excel skills

Investment Bank Regulatory Compliance Analyst Resume Examples & Samples

Maintaining the inventory of bank regulations applicable to the Investment Bank-U.S. Banking Branches and related risk assessment matrix
Performing periodic self-assessments of the Investment Bank’s policies, procedures and compliance related to bank regulations applicable to the Investment Bank services and products
Advising the front office, Finance, Operations and Treasury on the application of new and existing bank regulations
Responding to regulatory requests pertinent to bank regulatory programs, specifically in the examination or reporting contexts
Assisting Internal Audit and Compliance Risk Assessment with their reviews of bank regulatory programs
Conducting periodic training on key banking laws, regulations and internal policies and procedures
Drafting and maintaining policies & procedures relating to bank regulatory requirements and developing and implementing related controls and training
Developing action plans when control deficiencies are identified through ongoing monitoring and testing or the examination process; and
Notifying impacted areas of the Investment Bank of regulatory developments
LI-Prioity

Senior IT Regulatory Compliance Analyst Resume Examples & Samples

Accountable for the successful and timely completion of all audit activities
Act as a program manager across all compliance activities. This includes
10 years of compliance or audit experience, including experience in audit or compliance for IT in at least two of the areas below

Regulatory Compliance Analyst Resume Examples & Samples

Responsible for completing and approving investigations, and, determining reportability to the appropriate medical device regulatory agencies for events that either contributed or could have contributed to adverse events
Responsible for developing, applying, and revising procedures to maintain and improve quality compliance and standards as well as reviewing and approving concessions, non-conforming product and corrective actions as denoted by applicable regulations and procedures
Work with quality complaint-handling personnel; review and approve investigations of returned products and/or related reports
Submit initial and follow-up reports to regulatory agencies as appropriate
Interact with regulatory agencies on adverse event reporting and vigilance reports
Recommend corrective and/or preventive actions to address non-conformities and deviations
May coordinate recalls and complete associated documentation
Work with engineering groups to ensure testing as required on product investigations is completed
Interact with customers to solve reliability issues and/or answer general product questions/complaint issues
May aid in developing and executing process and product protocols and reports
May aid in developing statistical process controls and analyzing data
May participate in internal and external audits

Principal Regulatory Compliance Analyst Resume Examples & Samples

Manage and coordinate front-end international agreement lifecycle activities for IBDP agreements across the Company
Draft international agreements and appendices using authorized standard templates, including terms and conditions
Obtain and perform all required elements of due diligence; identify any ‘red flags,’ and work with Senior Counsel and outside counsel to resolve them
Coordinate with inside and outside counsel in addressing and resolving legal issues about third party candidates in a particular jurisdiction; work with sponsoring Business and OGC to develop terms and conditions for specific agreements
Conduct and manage all international third party due diligence in assigned jurisdictions in accordance with established company policy and practices
In coordination with the OGC, and outside counsel, develop and implement specific compliance programs or internal controls to mitigate risks in doing business with international third parties
Support and assist the Sr. Counsel, IA, in managing Raytheon's overall strategy for international business and to ensure compliance with all applicable US and local laws/rules
Support and assist in initiating and developing enhancements to 3D and RIMAD, including the development of an automated work flow tool for tracking all aspects of IBDP engagements
In cooperation with IT and Business PoC, define the specification and lead the implementation of the IBDP work flow tool
Update, manage and maintain 3D while providing support to 3D users across the Company
Manage data integrity of Company due diligence records in 3D; track and maintain ongoing currency of applicable and required data fields for each IBDP agreement
As 3D Lead, assist the Businesses in understanding, preparing and completing required party due diligence documentation for international transactions and provide training to Due Diligence Leads across the Company, as required
Support Global Partnering and Offsets by conducting required third party due diligence for new offset partners
Support Sr. Counsel, IA by conducting required third party due diligence for Corporate’s M&A pursuits
Assure smooth transition of each pending agreement action to the relevant regional agreements manager for completion of the remaining agreement lifecycle activities, including due diligence, corporate approval and signature/execution
Coordinate with the applicable Business Sponsors to assure the completion of written performance evaluations covering the activities of IBDPs
As required, provide training to Raytheon personnel on Raytheon’s policy for managing and administering international IBDPs
Revise and align Company policies related to performing international party and transactional due diligence and develop recommendations for improvement
Support the sponsoring Business to complete party due diligence on Distributors and other third parties
Related Master’s Degree desired
IT savvy and comfortable with maintaining electronic databases and working with IT personnel
Ability to make recommendations and offer direction to facilitate the appropriate use of IBDPs in the international market
Proficiency with Microsoft Office programs (Word, Excel, Power Point, etc.) and IT familiarity and comfort with maintaining electronic databases and conducting research on the internet
Foreign languages Helpful

Regulatory Compliance Analyst Resume Examples & Samples

Review and monitor daily and monthly post trade mutual fund prospectus/SAI/SEC investment restrictions (50%)
Perform certain administrative duties associated with CCO activities and compliance oversight (35%)
Aide in the Administration of Code of Ethics Reporting
Prepare regulatory SEC filings
Coordinate the onboarding process of new clients
Maintain testing platform with procedural updates and other information
Experience in compliance or similar role within the mutual fund and/or broker-dealer industries, or equivalent
Experience in the review of mutual fund sales and advertising materials
Series 6 or 7 preferred
Knowledge of Broker-Dealer, SEC and FINRA regulatory requirements
Ability to research new and existing regulations and clearly summarize
Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc)

Regulatory Compliance Analyst Resume Examples & Samples

Review and Comment on Sales and Advertising Literature for mutual fund clients
Perform certain administrative duties associated with distribution activities and compliance oversight of registered representatives
Research and summarize new regulations
Aid in the administration of Code of Ethics reporting
Assist in performing broker-dealer compliance monitoring activities as outlined in the firm’s Compliance Program. This will involve regular interactions with other department personnel, fund clients and management
Maintain and coordinate procedural updates and other information
Support branch office audit program
Other compliance related activities as may be requested

Senior Regulatory Compliance Analyst Resume Examples & Samples

Principal oversight of various broker-dealer related activities, including but not limited to review and approval or registered representative activities
Principal review and comment on sales and advertising literature for assigned fund clients (50%)
Perform certain duties associated with mutual fund distribution activities and compliance oversight of registered representatives (35%), including broker-dealer branch office on-site audits
Assist in performing broker-dealer compliance monitoring activities as outlined in the Compliance Program. This will involve regular interactions with other department personnel, fund clients and management
Create, maintain and coordinate procedural updates and other information available to ALPS and its clients
Research regulations and industry developments and create reports for use by the ALPS and its clients
Ability to develop subject-matter expertise and train others across department and ALPS’ client base
Other broker-dealer compliance related activities as may be requested
FINRA advertising review experience preferred
Knowledge of SEC, FINRA, BSA and other regulatory requirements related to broker-dealers and financial institutions
Must be able to manage multiple tasks simultaneously
Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience
Minimum of three years’ experience in compliance, or similar role, within the mutual fund and/or broker-dealer industry preferred
Experience in the principal review of mutual fund, ETF and/or private fund sales material preferred
Knowledge and experience working in or with broker-dealers
Broker-dealer principal registration preferred. Additional industry certifications will be strongly considered

Regulatory Compliance Analyst Resume Examples & Samples

Monitor, research, analyze, and interpret federal and state regulations and proposed regulations to determine applicability and risk to both technical and operational aspects for the company and its products and services
Possess knowledge of HIPAA, Graham Leach-Bliley, Medicare and Medicaid regulations, and/or other related regulations
Consult with various business groups and/or project teams to determine if system and/or business process modifications are required to conform to new or updated regulations
Ensure compliance for technical enhancements and new product and service offerings and assist with conducting audits or compliance reviews of operational areas against documented procedures
Consult with internal associates and external clients regarding compliance matters; they investigate and resolve compliance issues from a legislative/regulatory standpoint
Facilitate meetings with operational areas and lead client forums to provide education and training regarding new and/or updated regulations
High school diploma or equivalent
3 years applicable regulatory compliance-related work experience
Post-secondary education and 5 years regulatory research, requirements gathering, business analysis, or related experience in the health care payer industry as well experience leading projects or business groups and facilitating cross-functional team meetings is strongly preferred

Regulatory Compliance Analyst Resume Examples & Samples

Evaluates product complaints to assure compliance with all federal and organizational requirements related to FDA Regulation 21 CFR 803 in an efficient and effective manner by working with appropriate personnel, utilizing technical competencies and adhering to applicable quality system procedures and regulations
Analyzes and reconciles customer data in order to effectively communicate issues to FDA as required per regulation
Writes Medical Device Reports for submission to FDA pursuant to 21 CFR 803
Develops, maintains, and monitors Regulatory Compliance reports and provides information to functional and corporate management as required
Participates in the development and/or revision of departmental procedures
Supports continuous improvement efforts to ensure effective and compliant processes are in place
Demonstrates collaboration, teamwork and interpersonal skills conducive to a professional work environment

Regulatory Compliance Analyst Resume Examples & Samples

Bachelor’s degree preferred or equivalent work experience
3-5 years mortgage banking experience
Basic knowledge of QA/QC testing preferred
Knowledge with Excel
Minimum software or applications experience required
Knowledge with Loan Origination Systems and/or Mortgage Servicing Platforms required

Scientific Regulatory Compliance Analyst Resume Examples & Samples

Use knowledge of current and developing Technical Product Regulations to ensure the business’ compliance with them and support the Technical Compliance reporting processes
Use knowledge of current and developing Chemical Management Regulations to ensure the business’ compliance with them. Implement and provide support to other stakeholders in the required compliance activities
Use and contribute to established systems and databases to support compliance activities
Facilitate company alignment on pesticide regulations through development of efficient processes and requirements
Represent the company on designated bodies which enhance the reputation and scientific credibility of Imperial
Graduate in science plus experience in a similar environment
Experience analysing & interpreting data
Understanding of various scientific regulatory frameworks (e.g. pesticides & chemical management)
Strong communication skills at senior stakeholder level
Building and delivering presentations to communicate key messages
English fluency (both written and verbally)

Senior Regulatory Compliance Analyst Resume Examples & Samples

Support the development and maintenance of global trade automated tools (RGEMS, OCR, JCAT, etc.)
Support the creation of global trade training courses
Support the creation and maintenance of global trade policies and instructions
Support annual DDTC Registration application activities
Support the internal communication campaign related to global trade
Support the deployment of global trade policies, instructions, tools, and training courses across the business units and functions
Collaborate across the enterprise with key functions and business units to ensure an aligned, properly prioritized, and holistic approach to global trade and compliance
Establish effective business partnerships within Global Trade, functions, and business units
4+ years of relevant work experience to include a combination of export/import controls and knowledge of industry and export databases (including D-Trade, OCR, SNAP-R)
Attention to detail and follow through on assignments to achieve desired results
Strong time management, prioritization and organizational skills
Knowledge of ITAR, EAR, ATF and Customs regulations
Able to present recommendations to solve business challenges
Experience with assessing compliance risks in programs and developing proactive strategies to mitigate risks
Excellent leadership, communication, and writing skills
Ability to respond efficiently and effectively to time-critical requirements
Experience working in a matrix environment
Ability to obtain a Secret Security Clearance
Experience managing through a consent agreement
Experience training employees on export control processes and automation tools
Collaborative and influential leader and decision maker
Experience with assessing process efficiency and making improvements
Masters or Juris Doctorate Degree or other related advanced degree
Bachelor Degree in Business Administration, Law, or related discipline

Regulatory Compliance Analyst Resume Examples & Samples

Develop various analytics for daily job functions such as: Transaction/Customer Risk Analysis, KPIs, and Management Reporting
Monitor data quality from source to target, assess downstream impacts, and act as liaison with the IT Dept. on remediating any data quality matters
Coordinate efforts and address matters arising during regulatory exams and audits (including independent model validation)
Investigate and assess alerts relating to potential money laundering risks
Provide efficient identification, monitoring, and reporting of transactions considered suspicious
Help in identifying potential weaknesses in processes
Develop departmental procedures and conduct staff training

Regulatory Compliance Analyst Resume Examples & Samples

At least three years’ experience analyzing data/producing reports in a healthcare environment, specifically within Compliance and/or to DMHC requirements. Health plan, managed care and/or billing highly desired
Expert level Excel user, with demonstrated ability to produce statistical reports, graphs and presentations. Excel skills need to include building pivot tables and import of data from other sources. Access database skills highly desirable
Experience with regulatory and compliance filing standards, processes, policies and procedures
Experience in a complex environment with multiple/matrix reporting relationships desired
Knowledge and understanding of the California Health & Safety Codes and Knox-Keene Act Laws and California Insurance Codes
The incumbent has the authority to complete routine tasks within normal job assignments
The incumbent makes those day-to-day decisions required to perform principle accountabilities
Demonstrated knowledge of basic legal terminology, principles and procedures; and use of legal resources required
Knowledge of or experience in the healthcare environment is highly desired
Ability to diplomatically convey sensitive facts and follow detailed procedures; good judgment and ability to analyze situations accurately
The ability to balance numerous priorities at a given time with minimal supervision; highly detail oriented, self-directed, motivated and able to maintain the strictest confidentiality
Ability to maintain excellent interpersonal relationships within the department and at all levels of the organization
Strong customer service skills with ability to work effectively with Leadership, management and staff
Ability to manage and organize large amounts of data in an efficient and clear manner
Ability to identify issues and assist in the development and implementation of appropriate action or process improvement
Excellent organizational skills, thorough follow-through ability, and the ability to work independently and as a team member and maintain confidentiality in all activities
Ability to manage multiple projects at a time and navigate competing priorities
Effective organizational and administrative skills to include advanced knowledge of personal computer usage (Microsoft Office – Word, Excel, PowerPoint, Visio and other software)
Knowledge of Microsoft Project and/or Project Server desired
Excellent professional oral, written and interpersonal communication skills, demonstrating excellent interpersonal communication and problem-solving skills, working with SHP constituents and external parties, such as government agencies
Ability to execute strategy and communicate knowledge of business processes and enabling technologies, specifically in a regulatory and compliance filing function
Aptitude to conceptualize, plan, and implement stated goals and objectives
Ability to independently set and organize own work priorities for self and the compliance team and successfully adapt to new priorities as part of a changing environment
Must be able to work concurrently on a variety of tasks/projects in an environment that demands a high degree of accuracy and productivity in cooperation with individuals having diverse personalities and work styles
Ability to handle heavy workloads and short deadlines in a positive manner
Adapts quickly to changing conditions, assimilating new processes into job functions and taking ownership
Well-developed process design, implementation and improvement skills

Regulatory Compliance Analyst Resume Examples & Samples

Bachelor’s degree in Business or similar field of study preferred
U.S. Customs Brokers license or Certified Customs Specialist preferred
4+ years of inventory control, customs compliance, audit, or logistics experience
Sporting goods and retail industry experience preferred
Knowledge of customs broker practices and U.S. import regulations, including the ability to classify products using the Harmonized Tariff Schedule preferred
Working knowledge of U.S. Customs and warehouse or distribution systems preferred
Ability to assimilate data and make sound, fact-based decisions
Ability to analyze existing processes and make recommendations for improvements and problem resolution
Ability to work well independently, as well as an effective member of a team
Strong organizational skills, attention to detail and the ability to handle multiple tasks with ease
Proficient use of Microsoft Office programs, including Word, Excel, and Power Point
Strong interpersonal, written, and verbal communication skills
Acceptable level of hearing and vision to perform job duties

Senior Regulatory Compliance Analyst Resume Examples & Samples

Minimum of five years banking experience, experience in general risk functions, or demonstrate the ability to perform at proficient level of competence to meet duties
Bachelors or Equivalent Experience
At Least 5 Years Specialized Knowledge
Demonstrated leadership and coaching skills
Effective communication skills to assist in communication of objectives and strategic direction
In-depth research and analysis skills for more complex and critical data, interpret and communicate industry trends
Negotiation and collaboration skills to help influence and motivate others
Risk Management Skills
Risk certification preferred, or willingness to obtain
Management Scope Individual Contributor

Regulatory Compliance Analyst Resume Examples & Samples

Identify and interpret new State and Federal laws, regulations, and other contractual requirements by providing notification to internal and external customers, obtaining necessary approvals for implementation, and implementing and monitoring of the applicable law, regulation, or requirement and its impact to NTT Data and NTT Data customers
Conducts regulatory research and evaluates audit testing results. Draft opinions/documents for business needs related to such research and audit results
Communicates to Leadership and cognizant staff on the existence of applicable regulatory matters and assists on identifying areas likely to be impacted by the identified regulations or obligations by conducting regularly scheduled meetings and/or disseminating Compliance memorandums
Provide oversight to functional and operational area leaders who are accountable for implementing corrective action plans (CAP) related to monitoring results; receive regular updates regarding the progress of the CAPs to mitigate risk, and communicate this to compliance leadership
Mon-Fri daytime schedule. Hours similar to 8-5 with some flexibility for candidate preference

Senior Regulatory Compliance Analyst Resume Examples & Samples

Responsible for reviewing and monitoring U.S. Government export/import licenses, agreements, permits, certifications, technology release authorizations, commodity jurisdiction determinations
Assist in the development and implementation of company procedures and instructions to support compliance with U.S. Government export/import regulations and Company policies
Conduct review of Global Trade related presentations and documentation
Support and review requests for the export/import of controlled goods and information, and coordinate approval of such requests
Prepare reports, presentations and metrics associated with export/import activities
Maintain records in accordance with U.S. Government export/import regulations and Company policy
Assist in the development and management of export/import training and awareness materials
Support export/import compliance activities such as self-assessments, internal and external audits
Support investigations and export/import related compliance matters
Participate in cross-functional business and corporate projects to support business objectives
4+ years related experience or (2+ years related experience with a Master’s Degree, 0 years related experience with PhD) export/import and project-management related experience
Working knowledge of Microsoft Office Suite
Demonstrated ability to think strategically and integrate export requirements with Company’s international business objectives
Ability to travel as necessary
Demonstrated ability to participate in multi-functional teams working to solve complex export/import problems and drive issues to solutions
U.S. Citizenship status is required as this position needs an active U.S. Security Clearance within one year of start date
Ability to multi-task and excel in an environment with multiple leadership stakeholders

Regulatory Compliance Analyst Resume Examples & Samples

Conduct scheduled compliance reviews throughout the year pursuant to the Bank’s compliance monitoring and testing program
Conduct all aspects of the compliance review, including scoping, sampling, research, control testing, root cause analysis, and preparation of the final report
Manage project milestones to ensure timely completion of all scheduled testing activities
Present preliminary findings to line-of-business partners, propose corrective action, and validate completed remediation
Maintain robust and well-organized work papers
Maintain close relationships with line-of-business partners and provide periodic guidance regarding compliance-related questions and self-identified issues

Regulatory Compliance Analyst Resume Examples & Samples

1- Executing test controls within Audit, Compliance and Risk
2- Knowledge around Risk, Compliance or Audit
3- Communication. Working with the business and steak holders

Regulatory Compliance Analyst Resume Examples & Samples

Working as an active team member to ensure that the BAU tasks are completed in a timely manner
Deals with complex queries and any issues that have been identified are escalated appropriately
Deal with non-routine applications and liaise with stakeholders such as legal and the appropriate regulators
Working closely with the Firm’s Global Legal and Product Compliance teams, particularly with responding to regulatory queries from the FCA and other authorities
Working closely with senior compliance in London with the interpretation and on-going review of regulatory guidance relating to the new Senior Manger Regime (SMR) and the Certified Persons (CP) process along with the business requirements for EMEA region and implementation of new systems
Assisting Team Manager and senior Compliance staff with project work
Assisting with the compilation and analysis of monthly MIS
Support in the training / coaching /mentoring of team members
Knowledge of key regulations, together with significant exposure to Risk and Corporate Governance would be an advantage
Evidence of ability to review and analyse complex documentation
Demonstrated experience of working in a detail sensitive and highly pressurised environment
Recent demonstrable experience in a Compliance role would be advantageous
Significant attention to detail
Self Starter

Senior IT Regulatory Compliance Analyst Resume Examples & Samples

Plans or assists in planning the scope of compliance activities for the external audit reviews and assists in obtaining evidence and manages the activities of the external audits
Manages the process to monitor the IT issue remediation process through obtaining updates and various reporting of the status of the issues
Manages the process to obtain and prepare the internal metrics for the ITRC organization and presentation materials for both IT VPs and the CIO Scorecard
Support the IT Risk and Operational Risk area through interviews and managing session setup and execution
5 - 8 years of experience with a Bachelor’s degree in Computer Science, Accounting, Finance, Business Administration, or related field
2-5 years of experience in auditing or IT consulting
CISA or CIA preferred
Understanding of software development methodology, computer networking and IT security
MS Office skills required
Focus on quality and service
Experience working with cross functional departments to research and resolve issues using innovative solutions
Demonstrated ability to meet multiple deadlines and manage a heavy workload
Ability to handle sensitive or confidential information is critical
Knowledge of audit standards, policies and procedures
Understanding of business operations and processes helpful
Ability to build and maintain effective working relationships with ESI Management
Knowledge of the PBM or healthcare industry helpful
Excellent verbal and written communication skills along with presentation skills
Ability to work a flexible schedule to accommodate project deadlines

Regulatory Compliance Analyst Resume Examples & Samples

Bachelor’s or Master’s from an accredited college or university
Must be a US Citizen or legally authorized to work in US as a permanent resident. This position is located at a facility that requires special access
Experience with Federal Acquisition Regulations (FAR) or Defense Federal Acquisition Regulations (DFARs)
Must have strong people skills and be an effective communicator
Must be able to write clear instructions that contribute significantly to standard work and repeatable processes for hundreds of affected users of the instructions
Good working knowledge of SAP business system with emphasis on understanding the Procurement module is a plus

Regulatory Compliance Analyst Resume Examples & Samples

Minimum two years of experience in a client/customer-focused role with exposure to export control issues
Superior written and verbal communication skills
Self-starter who effectively and rapidly drives tasks to closure
Extensive computer skills including MS Office applications
Demonstrated capabilities including
1) Understanding and application of export control principles, concepts, practices, and standards
2) Ability to develop solutions to business issues
3) Capability of operating under general supervision while achieving organization objectives
4) Ability to interface effectively across levels with internal stakeholders
Experience in a fast-paced transactional environment
ITAR and EAR licensing and/or export compliance experience
Familiarity with other export-control-related matters (e.g., National Disclosure Policy, Missile Technology Control Regime, UK and Australia Defense Trade Treaties, Wassenaar Arrangement)
Familiarity with foreign export/import regulation regimes
Demonstrated business acumen

Nutrition & Regulatory Compliance Analyst Resume Examples & Samples

Bachelor’s degree in Food Science, Nutrition, or related field
Proficiency in Microsoft Office Applications
Results oriented and able to multitask efficiently and effectively
Team player with critical thinking ability
Desire and ability to work in a fast paced, high pressure environment

Regulatory Compliance Analyst Resume Examples & Samples

Testing for operational controls
Completing self assessments
Facilitating exams with our strategic partners
Analyzing data and identifying risk & controls
Ensure adherence to set quality standards
Coordinate projects, training & activities
Provide leadership and direction to less experienced staff
Coordinate and execute projects to attain company and/or department objectives
Identify opportunities for process improvements to advance service quality and/or streamline functions
Recommend and implement department training needs
Maintain and develop expert knowledge of company and/or department systems, assist with system implementation/conversion as needed
Coordinate quality control and/or compliance activities
Create manuals, reports and documents and make updates as needed Participate in special projects and perform additional duties as assigned Develop, recommend, facilitate and/or coordinate Employee training
Monitor Employee and/or division performance to ensure compliance with department and/or company standards
Contribute to a positive, ethical and respectful working environment and communicate openly with others
Model company culture internally and externally
Participate in meetings and coaching sessions
Keep staff informed of any procedural changes or enhancements
Provide support to department leadership in performing trend analysis, information gathering, performance feedback and related activities

Regulatory Compliance Analyst for FIS Insurance Resume Examples & Samples

Keep up to date on TPA industry regulations, changes and trends that could affect the GBAS client base
Identify, define, and recommend regulatory enhancements to current products, including participating in all requirements gathering and functional and technical design activities
Actively participate in industry trade associations and user groups
Identify and develop strong working relationships with key industry consultants
Develop and maintain strong working relationships with GBAS client base
Coordinate product design and development with product development team to provide a cohesive and effective product strategy
Provide input relevant to all aspects of the products. This includes documentation, implementation, and hardware
Manage new products through the beta test phase to ensure the product complies with the design document and satisfies customer expectations
Develop all necessary product databases and files to effectively demonstrate product attributes to specific segments of the target industry
Assist in the development of standard report designs to ensure they adequately meet the market needs and present the information in the best possible manner
Develop a strong research base consisting of representative sampling of current clients, target markets, internal staff, and consultants
Provide internal and client training as needed related but not limited to regulatory requirements for the TPA industry
Maintains products related to the GBAS file structure and reports for GBAS metadata, CONNX and Impromptu, including current product data dictionaries, catalogs, and report packages

Regulatory Compliance Analyst Resume Examples & Samples

Must have a minimum of 2 years of experience in interpreting and implementing various consumer banking or credit union regulations (such as Truth in Lending, Truth in Savings, RESPA, Reg.E, etc.) as issued by the prudential regulators and CFPB (Consumer Financial Protection Bureau) e.g. Internal Auditor, Compliance Analyst, and or Compliance Officer
CRCM (Certified Regulatory Compliance Manager) certification is preferred
Experience with IRS information reporting requirements is preferred
Researches and tests compliance issues for all JHA applications related to federal regulations, state statutes, industry standards and best practices, and other regulatory agencies
Evaluates internal controls, communications, risk assessments, and maintenance of documentation of policies and procedures, in order to adhere to regulations
Monitors regulatory changes and distributes necessary information to implement changes to various departments and internal policies
Develops and maintains an organized, methodical documentation system for communicating, implementing, and managing new and existing regulatory requirements
Assists in the development of contracts and procedures to ensure compliance
Performs compliance reviews of various supported applications
May assist customers in preparing for examiner and auditor on-site visits

Underwriting & Regulatory Compliance Analyst Resume Examples & Samples

Law degree required (May, 2017)
Law review preferred
Ability to acquire a law license and title insurance license in state of residence
Strong interest in combining law and business
Exceptional attention to detail and the ability to work in a fast paced environment
Strong problem-solving and communication skills
Excellent leadership and organizational skills

Senior Regulatory Compliance Analyst Resume Examples & Samples

Interact regularly with and provide guidance on import/export control compliance matters to internal stakeholders
Administer denied party screening activities and clearance of exports via IT automated tools (SAP P43) supporting export activities
Assign and maintain accurate import/export classification for Roche parts including the use of appropriate database applications
Support Import/Export Compliance team in creation and maintenance of SOP’s, desktop procedures and work instructions
Support Import/Export Compliance team audit processes
Perform functions associated with USDA (especially APHIS) and CBP compliance, including acquiring and maintaining USDA Import Permits, coding products for correct USDA Permit, FDA Code, and Tariff and Schedule B numbers, and keeping necessary databases consistent with respect to these values. Procure Medical Device Listing (MDL) numbers as needed for Import/Export purposes
Secure/maintain free trade agreements
Perform functions associated with BIS (and related) regulatory compliance, including global product classifications, US and (by liaison) global export permits and compliance therewith, trade partner screening, and export related documentation
Communicate with regulatory agencies, foreign/domestic affiliates and vendors to respond to questions or resolve problems, to provide required reports, to obtain necessary authorizations, listings, classifications, or exemptions, and to obtain advice or rulings regarding regulatory compliance
Represent Import/Export on cross-departmental or international projects and tasks, and provide advice regarding problems relating to import and export regulations
Provide Import/Export deliverables for TAB process

Regulatory Compliance Analyst Resume Examples & Samples

Involves interpreting regulations and making decisions on compliance with the following regulations: U.S. Munitions List (USML) and the Export Administration Regulations (EAR)
Performs analysis on export transactions and provides final analysis to RMS GTC/OGC Investigations Compliance Manager and Trade Counsel
Ensures IR/VD and Corrective Action databases are updated and maintained
Performs analysis on program performance against Trade Compliance requirements and develops required reporting charts for Trade Counsel
Identifies, investigates, and reviews compliance aspects of import/export activity involving a non-compliance incident
Monitor, analyze and interpret applicable regulations and assists with the implementation of corrective actions for voluntary disclosures
Confirms record keeping and archiving requirements are being maintained
Interacts regularly with multifunctional groups in GTC-Operations, legal, outside counsel, management, procurement, engineering, and others
Performs other Trade Compliance/Analyst duties as assigned
General Trade Compliance Regulation knowledge, including the International Traffic in Arms Regulations (ITAR); Export Administration Regulations (EAR)
Highly analytical, high ethical standards, organized individual with ability to process details efficiently and accurately and exhibits excellent follow up
Ability to interpret Global Trade Compliance regulations
Excellent computer skills required, to include Microsoft software suite
Results driven with the ability to be proactive as well as reactive to handling unexpected setbacks, obstacles and time constraints
At least 2 years experience in Trade Compliance with a Bachelor’s Degree or 1 year of experience with a Master’s degree

Regulatory Compliance Analyst Resume Examples & Samples

Support all activities related to benefit and pricing configuration (Provider Contracts) in the Amysis and/or Exeter systems
Responsible for updating, implementing, and testing configuration changes and new additions to a client’s environment. Ability to document changes and communicate with clients is critical
Employ critical thinking in the management and resolution of incident tickets or cases, and claims
Assess project, development, and company liability and advise management accordingly using an analytical approach
May assist with the translation and documentation of functional requirements into proper system requirement specifications as necessary
Responsible for estimating project scope, required resources, and project efforts. They may be accountable for multiple projects at any given time or may be delegated special work assignments as necessary, which may include conducting client operational reviews for product(s) usage
At least 6 years of experience demonstrating a strong knowledge of the software development life cycle and company products or industry-related experience
At least 2 years of benefit and/or pricing configuration experience is required. At least 5 years of experience is preferred
Regulatory/Government business experience is required
Claims processing experience
Health plan business knowledge
Critical thinking and analytic skills is a must
Demonstrated proficient usage with multiple software tools
Experience with the Amysis and/or Exeter systems is a plus

Regulatory Compliance Analyst Resume Examples & Samples

Ability to effectively communicate orally and in writing and provide a writing sample required
Ability to learn new areas of expertise and pay strong attention to detail
Ability to conduct research, synthesize information, and present findings or recommendations
Ability to work both successfully individually or in collaboration with others
BA or BS degree
Experience in working with federal officials, states, and other relevant stakeholders on Medicaid and CHIP issues
Experience in the consulting business
MA or MS degree in a health related field or JD degree

Regulatory Compliance Analyst Resume Examples & Samples

Business/Department Objectives: Compliance COE
Analysis of Voice and Email communications
Metrics Reporting and engagement with key Regional stakeholders
Review Email and Voice communication alerts as per the program and procedures
Highlight process deviations in a timely manner to the surveillance senior management
Reporting and presentation of key metrics and significant issues to the Country Compliance and Risk teams
Minimum 3 years’ experience within Capital Markets and atleast 1 year related compliance experience

Corporate Regulatory Compliance Analyst Resume Examples & Samples

Assist with compliance related audits and process validation
Function as a collaborative, contributing member of the Compliance Validation Process Team
Work collaboratively with Business Units as they establish and sustain the Compliance Validation Process
Participate in the implementation of a tool to manage the Compliance Validation Process
Facilitate compliance with Conflict Minerals regulatory disclosure and due diligence requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
Assist Chief Audit Executive and Senior Director of Compliance with other audit or compliance related tasks, as needed
Contribute ideas for continuous improvement of the Compliance Validation Process and framework
Recommend business efficiency opportunities
Update job knowledge by participating in educational opportunities and professional associations & publications
Assist in the preparation of information for the Committees of the Board of Directors, as needed
Facilitate communications with business unit quality and compliance management
Contribute to the advancement of Trinity’s policy & procedures for regulatory and industry standard compliance requirements
Promote best practice sharing between business units and across corporate functions, as appropriate
Champion high levels of ethical awareness and conduct within Trinity
Ability to analyze complex information and provide meaningful translation of compliant practices at all levels of the organization
Exceptional written and verbal communication and presentation skills
Knowledge of word processing software; spreadsheet software; project management software; database software and enterprise Governance, Risk and Compliance management systems
Strong attention to detail; create project plans & timelines
Must be able to manage multiple and competing priorities
Strong collaboration and team participation skills
Bachelor's degree in a relevant discipline, with a minimum of 5 years of relevant experience
Global experience is a plus
Bilingual Spanish is a plus
O NOTE: Some travel may be required

Regulatory Compliance Analyst Resume Examples & Samples

Provide oversight of law and regulations and guidance to the business regarding the establishment and maintenance of effective day to day regulatory compliance controls to protect the Bank from regulatory risk
Identify the regulatory risks and customer harm that the Bank faces and provide oversight on them
Assist the business in regulatory issue resolution driving remedial action and assist in ensuring that management is rectifying any such issues
Participate in projects and initiatives to ensure applicable legal and regulatory requirements are met and incorporated into business processes with the appropriate level of controls
Review Bank materials for compliance with applicable regulations and requirements
Support the continued improvement of the existing Compliance Program including the implementation of new regulatory requirements, controls, policies and procedures to achieve compliance with legal obligations and Company policy
Develop and maintain procedures, guidance and training related to the regulatory environment that will increase efficiencies reduce errors and mitigate risk
Ensure regulatory/compliance related requirements are embedded within department Compliance Manual and associated procedures
Take responsibility to keep up to date with changing regulations and policies
Performs special projects, and additional duties and responsibilities as required
University degree in related field or equivalent combination of education and business experience
Minimum 3 years experience related to Compliance / Audit / Legal / Risk Management experience in the financial services industry, preferably in the compliance function
Must have experience in at least two of the following areas: regulatory compliance, controls, risk management, audit experience, credit card operations
Comprehensive understanding of financial services regulatory environment and applicable laws and regulations
Strong working knowledge of banking industry products and services, in particular credit cards and deposit account products. Compliance or risk management experience and exposure to operating within a regulated environment is desired
Self-starter, strategic thinker and must have the ability to manage complex projects, influence without authority and effectively collaborate across multiple support and business groups and markets
Ability to maintain independence and recommend courses of action with impartiality
The incumbent must have experience in helping define and document policies, procedures and process flows
Demonstrated ability to make decisions independently, work well under pressure, meet deadlines and adapt easily to frequent change. We appreciate all applications, however, only those candidates selected for an interview will be contacted

Managed Care Regulatory Compliance Analyst Resume Examples & Samples

5+ years of experience with a focus on healthcare management or healthcare audits and compliance
Ability to manage assignments and organize tasks logically
Ability to communicate orally and in writing effectively and provide a writing sample required
Ability to learn new areas of expertise and pay strict attention to detail
Ability to work successfully both individually or in collaboration with others
Ability to manage processes and other consultants
BS, BBA, MBA, MA, MS, or JD degree in Healthcare Management
Experience in working with health insurance organizations, federal officials, states, and other relevant stakeholders on managed care issues
Healthcare Compliance Certification from either HCCA or AAPC preferred
CPA and CFE Certifications preferred

Regulatory Compliance Analyst Resume Examples & Samples

Experience interpreting federal and state and/or international regulations as they apply to products, financial processes, and other processes, practices and procedures
Experience investigating and resolving compliance topics
Experience implementing policies and procedures to ensure that these are in compliance with the appropriate statutes and regulations and that regulatory reporting requirements are met
Experience developing and implementing programs designed to increase employee awareness and knowledge of compliance policies
Audit and evaluation of current policies, procedures, and documentation for compliance with government laws and regulations
Experience designing, delivering, evaluating, and updating classroom-based and virtual-instructor-led training courses
Experience with Commercial Off the Shelf (COTS) courses
Ability to organize and gather project data, conduct analysis, prepare reports, and provide customer recommendations without assistance
Experience in conducting research on specified topics, contacting experts/resources as needed, determining conclusions, and presenting the results in a logical and concise manner
Experience in conducting effective technical presentations to management and tactful coordination with a variety of project stakeholders
A Master's degree in a related field
Experience utilizing the e-Learning Management System (eLMS)
Experience using Lean Six Sigma principles and tools for process improvements

Regulatory Compliance Analyst Resume Examples & Samples

Support and coordinate the Company’s FERC compliance program with an emphasis on risk assessment and mitigation associated with emerging IT technology
Assist in identifying areas of increased risk due to organizational changes and business development/divestiture activities to define and implement mitigation measures
Work with IT Collaboration Team to create/review/update risk assessments for each new/combined/released technology
Work with IT Unstructured Data Team to continue to mitigate company risk
Coordinate regular review of system access by nonemployees
Coordinate risk review associated with consolidation of servers of and move to virtual servers
Help identify and coordinate with IT potential compliance issues associated with system access/removal associated with acquisitions and divestitures
SME working with IT regarding maintenance and upgrades to Compliance Automated Tracking System (CATS)
Coordinate loading of certifications into CATS as well as system maintenance and upgrades
Assist in the response of data requests for regulatory agencies by gathering, analyzing and culling data collection such as email
Participate in discussion and development of positions on potential self-reporting issues
Monitor FERC regulations, requirements, and industry trends pertaining to compliance
Strong analytical, problem-solving and creative thinker
Ability to analyze risk and collaboratively explore and identify mitigating solutions
Self-motivated and hard-working, with a drive for results
Ability to work independently with minimal supervision or direction
Ability to translate data into meaningful information
Ability to comfortably interact and clearly communicate with individuals at all levels in the organization
Four (4) to Six (6) years of related experience

Legal & Regulatory Compliance Analyst Resume Examples & Samples

Bachelor’s Degree, or 5+ years equivalent experience. Higher level degree a plus
Customer service experience 2+ years
Project management experience 2+ years, or equivalent training with some experience
Project management or process improvement methodology certification a plus (e.g. Six Sigma)
Global or regional experience strongly preferred
MS Excel – Expert or higher level required, with proven ability to compile unstructured data, identify/resolve data quality errors, and summarize findings based on large volumes of data
SQL or other database development
Access, QlikView, or other data analytics tool experience would be a plus
MS Powerpoint – Intermediate level, with ability to present summarized information in a visually meaningful manner
Strong written & verbal English communication skill

Regulatory Compliance Analyst Resume Examples & Samples

2-4 yrs of experience focused on compliance, product, claims or underwriting
Broad knowledge of American Modern's products, regulatory research, form development or paralegal background with demonstrated ability to manage projects and recognized leadership skills
Self motivated with ability to focus on complex details
Analytical and problem solver
Excellent written communication and oral skills are essential
Bachelor's degree or equivalent technical/professional education or work experience
Pursuit of advanced degree or insurance coursework/certification (CPCU, AIC, etc.), preferred

Senior Regulatory Compliance Analyst Resume Examples & Samples

Submits regulatory filings to obtain required approvals to market insurance products, offer networks, perform administrative services, and maintain compliance with emerging law and regulation
Drafts policy forms, researches mandates, composes or gathers other content, and completes reports to meet state mandates, regulator objections and inquiries; and maintains relationships with state reviewers
Performs procedures for: control and dissemination of regulated documents; tracking/storage of filings, approved forms, licensure information and reports; and communication of related mandates
Provides compliance support to other business areas including advertising review, inquiry response, project participation, research, policy form interpretation, problem resolution and maintenance of information sources on related mandates
Supports or coordinates state regulatory examinations, surveys and data calls
Other duties as assigned or requested
Client focused with strong business acumen
Ability to think strategically and act proactively to create strong trust and confidence with business units
Strong innovative problem-solving capabilities

Regulatory Compliance Analyst Intern Resume Examples & Samples

Provide support to regulatory compliance team is supporting audit responses to the Government. This includes financial analysis, review of records, including documentation creation and tracking
Assist in the contract close-out efforts including a reviews of contract documents and modifications, financial status records and preparing schedules of incurred costs. Intern will also development of support documents that would be subject to audit
Develop working relationships with program personnel, and other departments and will coordinate with regulatory compliance staff in the day to day functions of the compliance team to ensure contract compliance and proper close-out efforts
Must be currently enrolled in Bachelor’s degree in business or business-related fields such as management, finance, or accounting with a cumulative GPA 3.0 or above. Must have completed 1st year of school
Establish and maintain excellent internal and external customer relations at all levels of the organization
Strong analytical, writing, financial, and negotiation skills
Strong communication skills to include effective written, listening and interpersonal skills, approachability, and ability to build and maintain internal/external relationships
Effectively meet responsibilities in a highly interactive team environment and able to work well under pressure, multi-task, and deliver on multiple priorities while producing work of the highest caliber
Proficiency in using Microsoft Office
0 - 2+ years’ experience in finance or accounting related positions
Previous business internship or business work experience is highly desirable
Knowledge of applicable Federal Acquisition Regulation (FAR), Defense Federal Acquisition Regulation Supplement (DFARS) requirements

Managed Care Regulatory Compliance Analyst Resume Examples & Samples

BBA or BS degree in Healthcare Management
MBA, MA, or MS degree in Healthcare Management preferred; JD degree in Healthcare Management a plus
Healthcare Compliance Certification from HCCA or AAPC preferred

Managed Care Regulatory Compliance Analyst Resume Examples & Samples

5+ years of experience with focusing on healthcare management or healthcare audits and compliance
Ability to communicate effectively both orally and in writing, including providing a writing sample required
BS or BBA degree
HCCA or AAPC Heathcare Compliance Certification preferred

Servicing Regulatory Compliance Analyst Resume Examples & Samples

Conducts loan level reviews for adherence to Regulatory and state guidelines
Prepares reports and tracks results, including being able to identify and address trends
Database knowledge and management of large amounts of data is required
Assist in the development and maintenance of the servicing regulatory compliance plan
Reviews applicable federal and state laws makes recommendations for servicing compliance
Basic knowledge of State requirements, CFPB, RESPA, FCRA, ECOA, and TILA requirements, including the most recent changes to these regulations
When assigned, assists to promote awareness of emerging compliance issues and/or regulatory changes the Compliance function
Gathers and analyzes data
Promotes highly efficient processes and systems to monitor, assess, and accurately report on the regulatory changes
Assists and works closely with team within Risk Management to identify regulatory risks ratings and trends associated with mortgage servicing
When assigned, assists in ensuring that changes in servicing regulatory compliance requirements are reflected in our application systems, as well as submits process improvement requests in which automation would help prevent user errors
Works closely with other staff in Servicing and Regulatory Compliance, and participate in process improvement activities
Check all audit findings for completeness and accuracy

Managed Care Regulatory Compliance Analyst Resume Examples & Samples

5 years of experience with a focus on healthcare management or healthcare audits and compliance
Ability to communicate effectively orally and in writing
BBA or BS degree

Principal Regulatory Compliance Analyst Resume Examples & Samples

Effect exports of International Traffic in Arms (ITAR) and Export Administration Regulations (EAR)-controlled hardware for all GBS and Corporate functions – including, for example, to Raytheon customers, foreign subsidiaries, trade shows, etc
Process hardware shipments using Raytheon’s Global Trade automated tools to ensure proper customs documentation is included and shipment is authorized under the appropriate export authority
Perform commodity jurisdiction determinations in compliance with applicable US Government regulations and internal Raytheon tools
Conduct Restricted Party Screening of visitors (e.g., suppliers, manufactures, customers, vendors, etc.) to Raytheon operations and resolve potential and/or actual matches
Review and approve domestic and foreign visitor requests to ensure no export controlled technical data, defense services or technology are exported, transferred or otherwise provided during the visits or ensuring proper export licenses, agreements or other required government authorizations are in place to cover the full scope of the meeting
Assist Human Resources, Finance and Advanced Media with respect to export control queries (e.g., foreign person employee issues, anti-boycott, etc.)
Review and approve international travel, presentations, briefings, documents and other information for compliance via Raytheon Global Export Management System (RGEMS)
Participate/support compliance activities such as self-assessments, internal and external audits
6+ years export / import related experience
Strong time management, prioritization and
Ability to manage multiple tasks and discern priorities
Application of business principles and concepts
Bachelor’s Degree in business, international

Servicing Regulatory Compliance Analyst Resume Examples & Samples

Conducts loan level reviews for adherence to Regulatory guidelines
Prepares reports and tracks results including being able to identify and address trends
Reviews applicable federal and state laws and regulations and makes recommendations for servicing compliance
Basic knowledge of RESPA, FCRA, ECOA, and TILA requirements including the most recent changes to these regulations
Assists and works closely with team within Operations Risk Management to identify regulatory risks associated with mortgage servicing

Regulatory Compliance Analyst Resume Examples & Samples

Monitor the activities of the Insurance Services Office (ISO) for one or more lines of business and document changes that affect our products
Review for completeness and compliance all proposed changes to our insurance products
Assemble, prepare and submit necessary materials needed by state Departments of Insurance to review and approve our product changes
Work with state regulators to resolve Department of Insurance objections to our company’s proposed insurance products
Maintain timely and accurate records; mostly using Excel
Provide excellent customer service to both internal and external customers of our organization
Various duties: data entry, drafting reports and memoranda, auditing files, converting PDFs to Word docs, projects as assigned
Two (2) years of insurance experience in compliance, underwriting, claims, sales or agency administration, etc
Need to be proficient with the Microsoft Office suite of products, particularly Excel
Must be able to juggle changing priorities and manage time effectively
Well organized and able to track status of multiple priorities/projects simultaneously
CPCU, ACP, AINS, ARC or CCP are a huge plus

Regulatory Compliance Analyst Resume Examples & Samples

Assist with interpretation requests submitted by companies
Participate in additional projects and tasks as required
Uses existing procedures to solve standard problems; analyses information and standard practices to make judgments
Follows all local, state, and federal regulations. Understands the basics of providing consultation to both internal and external stakeholders. Learns the basic steps for reporting to management and regulatory agencies
Develops an understanding of laws, controls and regulatory requirements. Demonstrates awareness of industry trends and learns how to research programs and processes. Develops understanding of internal and external market control environments

Regulatory Compliance Analyst Resume Examples & Samples

2 years of experience in a client/customer-focused role with exposure to
Familiarity with other export-control-related matters (e.g., National Disclosure
3) Capability of operating under general supervision while achieving

SWS Regulatory Compliance Analyst Resume Examples & Samples

Perform management of contracts related to Environmental reporting, emergency protocols, and professional services contract
Assist with development and maintenance of SWS' environmental management records and access
Research and keep current on regulatory requirements, industry standards, and best practices to provide technical support as needed
Assist with coordinate environmental permitting and planning of projects and process changes
Review plans, permit applications, and other related work products to identify and close gaps
Serves as primary point-of-contact with regulatory authorities for assigned facilities and operations
Completes all job duties, tasks, and projects within a timely manner or by assigned deadlines
Promotes awareness of and follows SWS safety policies
Develop and implement systems
Monitors and maintains integrity of landfill environmental compliance and activities including, but not limited to, repairs, corrective actions, gas collection and control system, flare operations, leachate collection, groundwater monitoring network, storm water discharges to ensure compliance with regulations
Prepare and submit compliance, operational, and safety forms or reports
Calibrates, operates, and maintains sensitive electronic data collection devices necessary to optimize landfill gas collection
Align facilities, staff, and technology to manage compliance, including but not limited to, testing, monitoring, safety & emergency protocols, certifications, and reporting
Team with varying levels of indirect reports / resources and managers to prepare and submit environmental reporting
Preserve and protect the community's natural resources while encouraging sustainable growth
B.S. degree in environmental sciences or an engineering degree in environmental or civil or related field. PE preferred
Minimum of 3+ years in air quality compliance for methane producing facilities, environmental regulatory compliance at a complex facility, or construction environment
Working knowledge of pumps, gauges, etc
Previous experience related to solid waste management, utilities, landfill maintenance and management, and/or industries such as mechanical, electrical, or industrial specialties
Broad knowledge and familiarity of federal and state solid waste rules and regulations pertaining to solid waste facility operations and landfill gas systems and the ability to work independently
General knowledge of SWS programs
Waste Diversion and Disposal Trends, planning principles, landfill management and compliance
Excellent oral and written communication, proficient in Microsoft Office Suite
Bring groups and individuals together to achieve environmental compliance
SWANA Manager of Landfill Operations (MOLO) Certification
ISO Management System Standards Certification
NC State Class C Drivers' License

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Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

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Regulatory Compliance Analyst Resume Examples & Samples

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Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

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Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

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Regulatory Compliance Analyst Resume Examples & Samples

Senior Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

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Regulatory Compliance Analyst Resume Examples & Samples

Regulatory Compliance Analyst Resume Examples & Samples

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Regulatory Compliance Analyst Resume Examples & Samples

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