Regulatory Initiatives Resume Samples

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L Wolff

Lewis

Wolff

99828 Emmie Pine

Los Angeles

+1 (555) 670 8505

99828 Emmie Pine

Los Angeles

Phone

p +1 (555) 670 8505

Experience Experience

Chicago, IL

Strategic Regulatory Initiatives Ccar

Chicago, IL

Volkman-Sanford

Chicago, IL

Strategic Regulatory Initiatives Ccar

Preparing program management reports and communications, for presentation to senior management and regulators
Advising workstreams on construction of corrective action plans and remediation project plans
Coordinating with workstreams to monitor and report status of corrective action plans and project plans, and escalate emerging issues and material delays
Supporting overall CCAR Program Management, including
Providing business office support for the Strategic Regulatory Initiatives leadership team
Managing the annual budget and expense process including monthly accruals across the Strategic Regulatory Initiatives team
Assess sufficiency of resources aligned to corrective action plans

Los Angeles, CA

CIB F&BM Regulatory Initiatives & Standards Associate

Los Angeles, CA

Heller-Zboncak

Los Angeles, CA

CIB F&BM Regulatory Initiatives & Standards Associate

Assist with the execution & implementation, with LOB and other functional partners (Market Risk, Middle Office, Market Risk etc.) of Policies & Standards impacting Markets Product Control
Take part in other control projects, such as the Front Office Supervision and data management
Involvement in the governance & reporting of Finance–related Standards & Policies. These include P&L and Risk Standards, Significant Transaction Standards, External Reporting Standards, Pre-trade governance guidelines, Volcker guidelines & Controls, as well as other policies
Response to related ad-hoc requests from senior management, other functions & audit
Assist with certain aspects of the regulatory relationship agenda for Markets Product Control
Ensure the Program’s activities align to the department’s Technology agenda, Risk and Control Self Assessments (RCSA) and Action Plans
Coordinate & prepare responses to regulatory agencies, pertaining to requests or regulatory exams impacting Product Control

present

New York, NY

Compliance Regulatory Initiatives VP

New York, NY

Goldner, Feest and Trantow

present

New York, NY

Compliance Regulatory Initiatives VP

present

Reviewing existing first and second line control frameworks for compliance with rules and regulations relevant to Morgan Stanley’s business
Managing the “Lessons Learned” program in EMEA to ensure the Firm reviews and enhances its control framework in response to internal and external conduct and regulatory incidents
Manage a wide variety of EMEA Compliance led regulatory and strategic initiatives
Review and recommend enhancements for first and second line control frameworks for existing regulatory obligations
Providing support to the compliance advisory teams with respect to Global initiatives impacting their area
Leading on EMEA Compliance regulatory and strategic initiatives and acting as the EMEA Compliance coordinator for Global Compliance initiatives
Act as the EMEA Compliance representative on EMEA and Global Compliance owned initiatives and processes

Education Education

Bachelor’s Degree in Business

Kent State University

Bachelor’s Degree in Business

Skills Skills

Detail oriented and good memory skills
Excellent computer skills
Good organisational and project management skills
Good analytical and numerical skills
Ability to manage own workload and prioritise
Professional and articulate
Ability to perform multiple tasks simultaneously
Ability to remain focused under pressure
Broad understanding of the FCA Handbooks and regulatory approach

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Regulatory Initiatives Resume Examples & Samples

Professional and articulate
Good analytical and numerical skills
Good communication skills in order to present views to senior management and to explain technical requirements
Good organisational and project management skills
Excellent computer skills
Ability to remain focused under pressure
Detail oriented and good memory skills
Ability to perform multiple tasks simultaneously
Ability to manage own workload and prioritise
Broad understanding of the FCA Handbooks and regulatory approach

Svp-strategic Regulatory Initiatives Technology Project Manager Resume Examples & Samples

Develop a forward-looking 'vision' for the end-to-end CCAR process, including the data, process, tools and technology required to implement the vision
Design and oversee the implementation of data structure, processes, tools and technology (used for methodology / models, calculations and management reporting) to support the existing, and move toward the 'visionary', end-to-end CCAR process, working closely with CCAR Management, workstreams, Franchise Risk Architecture, Risk Technology and Finance Technology
Learn the challenges of each CCAR process at Citi and be able to create a solution which bridges the gaps between Citi’s current systems and infrastructure and the regulatory demands placed on the firm
MBA preferred; 8-10 years of related work experience in Risk Management or Finance Reporting
A basic understanding of the existing end-to-end CCAR process, including regulatory requirements, data requirements, information and data flows, and interdependencies
Technology knowledge is a plus, but not a requirement as it is more important this individual possess leadership qualities and strong project management skills
Prior exposure to both Risk Management practices and Financial reporting processes is highly desired as CCAR requires solutions that span cross organizational boundaries
Strong interpersonal skills including influencing, facilitation, and partnering skills
Experience in working with people at various levels as well as delivering through influence & oversight
Demonstrated strong leadership experience, especially in transitioning or challenged environments

HR Business Analyst Governance & Regulatory Initiatives Resume Examples & Samples

Leverages knowledge of regulatory requirements, HR, process design and data/analytics to review current processes
Utilizes data analysis to assess process and procedural issues and make recommendations to ensure compliance with regulatory requirements
Actively contribute to the development and day to day management of the HR Operational Risk agenda
Builds and maintains relationships with stakeholders in functions within HR and across EMEA
Interacts/negotiates with various parties to translate regulatory requirements into commercial solutions
Advise and partner with stakeholders on the implementation of best practice solutions
Identifies process issues through day to day work and/or audits and engage appropriate stakeholders to determine resolution
Consults with functional HR groups on how they manage day-to-day operational aspects of the project(s)
Interprets client needs into appropriate recommendations for risk mitigation
Monitors process changes and reports on effectiveness to ensure that implemented policy, process and procedural changes designed to meet regulatory requirements are in place and operating effectively
Works effectively with large amounts information, able to master details and provide incisive high level overviews
Responds to and resolves urgent escalations along with appropriate SME and/or stakeholder
Identify process issues/key consistencies through day to day transactional work and engage with appropriate stakeholders to determine resolution
Manage audits to ensure compliance with regulatory responsibilities; escalate to appropriate stakeholders as needed
Training – compiling and creating training materials, delivery of training and demos where applicable
Producing status reports and preparing materials for steering committee meetings
Proven project & change management/business analysis experience, including process re-engineering
Effective problem solving skills, including a high degree of initiative and creativity, quality focus and strong attention to detail

Associate Regulatory Initiatives Group Strategy Resume Examples & Samples

Postgraduate degree in a business concentration preferred
2-5 year’s experience in Global Capital Markets in a Trade Floor Supervisory function, Compliance or Risk role
Working knowledge of cash and derivative products
Demonstrated record of achievement and thought leadership within a business operations and project management environment
Excellent verbal and written communication skills, experience with MS Office, including a proven track record in developing
Demonstrated ability to deliver value and direct benefit to the organization; and
Strong trading risk and controls experience (Gap analysis, issue identification and resolution, relationship building, synthesis of ideas, diagnostic work, business process design, and business case development)
This position reports to the Director of Policy, Strategy and Governance
Monitoring GBM compliance with regulations
Compilation of management information reports on regulatory metrics for Trading Management and GBM Executives
Establish key risk indicators (KRIs) and document controls or processes
Provide Subject matter expertise in capital markets reform initiatives
Research and assess the business impact of regulatory reforms on the bank's business and operating model
Project Management of tactical solutions to remediate gaps and strategic solutions that optimize processes along with technology

Co Op Analyst Regulatory Initiatives Group Strategy Resume Examples & Samples

Manage project logistics (booking conference calls, taking minutes for meetings, vendor demos)
Compilation of management information reports on regulatory metrics for RIG management
Research and assess the business impact of regulatory reforms on the bank’s business and operating model
Project co-ordination including management of project plans
Other Duties as assigned by the Director
Previous experience in Global Capital Markets is beneficial
Excellent verbal and written communication skills, experience with MS Office/Projects/Visio, including a proven track record in previous work terms
Demonstrated ability to deliver value and direct benefit to the organization

Senior Manager Process Engineering & Regulatory Initiatives Resume Examples & Samples

Strong expertise in project management especially in leading cross function projects and solid knowledge of project management methodologies
5 years + in the Capital Market business, especially OTC derivatives business; extensive knowledge of OTC derivatives products, operations processes, as well as front to back functional areas and infrastructures
Sharp analytical and problem solving skills. Demonstrated success in identifying, designing and implementing solutions to complex business problems
Experienced with process redesign and familiar with process engineering methodologies and techniques
Strong change leadership, communication and presentation skills
Result oriented, deadline driven and self-motivated
Strong adaptability to dynamic business environment and ambiguous regulatory landscape, as well as strong ability to fast respond to changing priorities
Knowledge and experience with the regulatory reforms in OTC derivatives market is asset, such as Dodd Frank and EMIR, as well as other regulations affecting the capital market business, such as FATCA
Proficient with MS Office tools (i.e. Project, Excel, Access, VBA, Macros and Object Oriented programming), Visio or other flowcharting tools
Knowledge of SharePoint administration and programming
Strong communication, collaboration, and leadership skills with technical organizations and management teams
Expertise around industry best practices in the various aspects of IT, technology trends, enterprise operations knowledge
Results oriented and self-motivated problem solver
Experienced in managing and coaching business and technical analysts for effective project delivery

Strategic Regulatory Initiatives Director of Ccar Execution & Reporting Resume Examples & Samples

Ability to define and re-engineer complex processes and procedures, with appropriate controls, and think both strategically and tactically while driving meticulous execution
Experience managing businesses/control functions through periods of rapid growth and/or change
Exceptional oral communication and writing skills, with ability to synthesize complex concepts, and translate into "user-friendly" language for multiple audiences, including the Board, senior management, multiple internal constituents and regulators
Ability to manage multiple priorities and tasks, work well as part of a team, and exhibit strong people and influencing skills
Strong attention to detail, willingness to "roll up sleeves" and produce a polished, high quality, accurate product; tireless work ethic with ability to work well under pressure

Regulatory Initiatives Executive Director Resume Examples & Samples

Professional and articulate
Good communication skills - able to present complex matters succinctly to a range of audiences (both within Legal and Compliance and across the Firm’s other Divisions)
Advanced presentation skills - ability to produce high quality written materials (e.g. presentations, briefing notes)
Strong project management skills (e.g. prepare project management documentation, meeting materials, track deliverables, produce periodic Management Information)
Strong interpersonal skills - working with staff and external stakeholders of all seniority
Ability to remain focused under pressure
Ability to perform multiple tasks simultaneously
Experience in financial services with a leading bank, securities house, regulator or consultancy practice in an operational, control or compliance function

Compliance Regulatory Initiatives Resume Examples & Samples

Good communication skills - able to present complex matters succinctly to a range of audiences (both within Legal and Compliance and across the Firm’s other Divisions)
Advanced presentation skills - ability to produce high quality written materials (e.g. presentations, briefing notes)
Strong project management skills (e.g. prepare project management documentation, meeting materials, track deliverables, produce periodic Management Information)
Degree educated or quivalent

Strategic Regulatory Initiatives Ccar Resume Examples & Samples

Ability to produce reports and presentation of the highest quality under tight deadlines
Works independently to ensure responsibilities are completed on time and to consistently exceed stakeholder expectations
Demonstrated ability to navigate across Citi and to widely develop relationships with stakeholders at various levels of management
Experience with critically reviewing processes and controls and proposing enhancements
Ability to support multiple priorities and tasks, work well as part of a team, and exhibit strong people and influencing skills
Experience supporting enterprise-wide regulatory, programs, and coordinating regulatory exams and internal audits
Strong attention to detail, tireless work ethic with ability to work well under pressure

CO OP Associate Regulatory Initiatives Resume Examples & Samples

Participate with the team in working with the business lines and internal stakeholders in understanding the regulatory framework, and developing systems and processes to ensure compliance
Represents the business lines as the front Office stakeholder in all projects involving business lines input
Ensures business lines input is provided to bridge the gap between rules requirements and current business lines practice
Work closely with the PMO Project Manager responsible for the delivery of the Front Office projects where Front Office is a Primary Owner of the project
Assist in the preparation of presentation materials, and progress reports to stakeholders, including senior management
Attend program meetings, and serve as program secretary when required
Maintain databases and internal tools used for tracking progress, regulatory developments and documentation
Conduct research, and one-off projects from time to time when required
University degree in business, finance, engineering and/or relevant experience
Prior experience and familiarity with derivatives products
Interest in and knowledge of the capital markets business
MBA, CA, CFA
Experience working on a major project and/or initiative team
Comfortable in dealing with ambiguity and matrix based environment
Familiarity with online project management tools and websites (including basic webpage maintenance capabilities)
Financial, accounting, computer literacy and excellent written and oral communication skills
Considerable initiative, creativity and good judgment are necessary. A high level of energy, commitment and a strong sense of teamwork are needed to succeed in the role

Managing Director Strategic Regulatory Initiatives Resume Examples & Samples

Interpretation of regulatory expectations and industry best practices supporting capital planning
Identification and prioritization of opportunities for Citi to remediate and enhance its own capital planning practices, based on the above, working closely with members of Risk, Finance and the businesses across Citi
Review and challenge of work-stream methodologies and remediation initiatives
Design and ongoing refinement of ‘macro’ initiatives supporting Citi’s capital planning processes, including Material Risk Identification, Scenario Design, Key Assumptions, Sensitivity Analysis
Design and ongoing refinement of the Capital Adequacy Assessment Framework
Interacting regularly, and building strong working relationships, with senior regulatory teams in NY and Washington DC
Preparing and presenting clear, concise and insightful materials about the capital planning process, remediation efforts and outcomes to Senior Management, Regulators and the Board
Working collaboratively with other members of the Strategic Regulatory Initiatives on other critical priorities, including CCAR loss allocation and optimization strategies, integration of capital planning into existing business processes, and target state design
Contributing to other regulatory exercises, including the Recovery Plan and Resolution Plan
Partnering with regional Risk and Finance partners to develop global ICAAP standards, including defining roles and responsibilities and identifying resource requirements
Professional skills, particularly

Strategic Regulatory Initiatives Organization Resume Examples & Samples

Remaining informed and having a basic understanding of regulatory expectations and best practices supporting capital planning
Actively contributing to the overall management and execution of the CCAR process, and driving change and enhancements identified by management and/or regulators. Examples include
BA/BS with a strong GPA, relevant coursework, and experience
An understanding of the banking business and/or other risk management functionality; prior understanding of risk measures a plus
Strong attention to detail with the ability to quickly assimilate and analyze large amounts of information
Ability to manage multiple priorities and tasks, work well as part of a team, voice concerns or questions and exhibit strong people skills
Enjoy variability in projects and skills required to meet goals and objectives, within a wide range of quantitative and non-quantitative projects
Sufficient self-confidence and ability to propose new ideas/solutions, ask insightful questions, and escalate issues in a timely and effective manner
Excellent influencing, facilitation, and partnering skills. Ability to build a strong internal network across functions and various levels of seniority

Senior Manager Operational & Regulatory Initiatives Resume Examples & Samples

Risk and Control Assessments (RCA)
Excellent problem solving and negotiating skills
Excellent written and verbal skills to prepared documentation and interact effectively with Global Wealth business lines and other departments
Excellent leadership and time management skills
Thorough knowledge of Bank's regulations, policies, procedures, operations and functions
Excellent knowledge of the roles and responsibilities of Global Wealth business units and support functions crossing all delivery channels
Expert knowledge of Excel, PowerPoint, Word, and Visio; and

Analyst Regulatory Initiatives Resume Examples & Samples

Participate with the team in working with the business lines and internal stakeholders in understanding the regulatory framework, and developing systems and processes to ensure compliance
Represents the business lines as the Front Office stakeholder in all projects involving business lines input
Ensures business line input is provided to bridge the gap between rule requirements and current business line practices
Work closely with the PMO Project Manager responsible for the delivery of the Front Office projects where Front Office is a Primary Owner of the project
Assist in the preparation of presentation materials, and progress reports to stakeholders, including senior management
Attend program meetings, and serve as program secretary when required
Maintain databases and internal tools used for tracking progress, regulatory developments and documentation
Conduct research, and one-off projects from time to time when required
Prior experience and familiarity with derivatives products
Interest in and knowledge of the capital markets business
Prior experience working on a major regulatory project and/or initiative team
Comfortable in dealing with ambiguity and matrix based environment
Familiarity with online project management tools and websites (including basic webpage maintenance capabilities)
Financial, accounting, computer literacy and excellent written and oral communication skills
Considerable initiative, creativity and good judgment are necessary. A high level of energy, commitment and a strong sense of teamwork are needed to succeed in the role

CO OP Analyst Regulatory Initiatives Group Resume Examples & Samples

Generate
Strong analytical skills and ability to work with large
Attention

Co Op Analyst Regulatory Initiatives Group Strategy Resume Examples & Samples

Manage
Previous
Excellent
Demonstrated

Analyst Regulatory Initiatives Resume Examples & Samples

Monitoring and reporting of regulatory controls related to Dodd Frank Title VII, EMIR, MIFID, CSA, HKMA, MAS and FATCA, as well as assessing, testing, implementing changes to business policies, procedures, operations and systems to ensure global compliance
Ensure operational readiness and compliance to Bank policies and procedures
Review and update assessments of the control environment; tracking control issues, and developments
Provide a high level of professional service to internal and external stakeholders, consistent with the RIG’s role as a center of excellence for Scotiabank
Generate comprehensive management metrics for assessing compliance performance and decision making purposes
Serve as initial point of contact in the Escalation Management Framework, and assist in the resolution of related issues
Work with Technology teams to design and enhance processes for automation by building business requirements and providing process expertise
Continue to acquire and enhance knowledge of business strategies and policies, regulatory requirements, processes, and changing technology to effectively assist in the provision of business solutions
Other ad-hoc projects for supporting operational and regulatory demands as assigned
Minimum 0-3 years in the financial industry or similar environment
Ability to work with multiple stakeholders to execute projects
A demonstrated ability to collaboratively work in a team environment under tight deadlines
Intermediate to Advanced user capabilities in Excel, Word, PowerPoint
Attention to detail and organizational skills
Knowledge of key current rules and regulations governing banking institutions, specifically in the Capital Markets business
Capital market products knowledge

HR Governance & Regulatory Initiatives VP Resume Examples & Samples

Knowledge of the existing UK and EMEA regulatory environment
HR knowledge/experience preferred
Experience interpreting regulation and incorporating into the relevant Firm policies and procedures
Wholesale banking experience
Project management skills – managing complex projects across functions and with multiple stakeholders and competing timeframes
Compliance, regulatory or consulting experience preferred
Some understanding of UK Employment law
Ability to represent HR function and influence at all levels and businesses of the Firm

Strategic Regulatory Initiatives Ccar Resume Examples & Samples

Ability to produce reports and presentations of the highest quality and accuracy under tight deadlines
Work independently to ensure responsibilities are completed on time and to consistently exceed stakeholder expectations
Experience supporting enterprise-wide regulatory programs, and coordinating regulatory exams and internal audits
Preferably 8+ years of experience

Margin Program Senior BA Collateral Management Regulatory Initiatives Resume Examples & Samples

Provides business analysis for the Collateral Management work stream of Margin Program
Has a strong understanding of OTC Derivatives Collateral processes and Collateral Legal Agreements in a Capital Markets settings
Independently performs business analysis across multiple regulatory projects
Participates in the industry discussions and is aware of the current margin regulatory rules across multiple jurisdictions (Canada, EU, U.S. and Asia), ensures that analysis activities are aligned to the rules and highlight discrepancies/limitations as they are discovered in the requirements finding stage
Works closely with Collateral Management, Trading Documentation, Operations and Technology groups to define business requirements and ensure regulatory compliance
Leads and/or assist in requirement workshops, documents business requirements and facilitates requirements review and approval process
Works toward resolving ambiguities
Contributes to the analysis of issues, incorporating quantitative and qualitative factors to evaluate analysis and leads the project to the most appropriate conclusions on specific tasks and issues
Supports Technology, QA and UAT teams as required
Provides accurate and timely status updates and assist in the development of project materials – project plan, Steering co, progress report to stakeholders including senior management
Provides superior client experience and strengthen work relationship with business partners
Facilitates small to large meetings and conducts information gathering sessions; prepares and delivers presentations to business partners and program manager
Collaborates with colleagues across the organization to get things done
Resolves conflicts/issues of medium to high complexity and escalate as appropriate
Provides expertise, feedback, coaching to build the capability of more junior stuff
Continually enhances skills and builds knowledge in all aspects of the organization, the business and information systems
Multiple years of experience as a BA on regulatory projects within Capital Markets and Financial Industry
Expert knowledge of Collateral Management Operations & OTC Derivatives
Trading Documentation & On-boarding, Collateral Management, Counterparty Trading Risk, Market Risk processes
Strong analytical skill set and ability to transform business goals into requirements
Requirements methods: interviewing, business process modeling, data modeling
Ability to work in an ambiguous fast paced environment with minimal supervision
Ability to work effectively with business and technology
Proficiency with Excel and MS Access

Compliance Regulatory Initiatives VP Resume Examples & Samples

Reviewing existing first and second line control frameworks for compliance with rules and regulations relevant to Morgan Stanley’s business
Ensuring that regulatory reform projects consider and deliver appropriate control frameworks for compliance with rules post implementation
Managing the “Lessons Learned” program in EMEA to ensure the Firm reviews and enhances its control framework in response to internal and external conduct and regulatory incidents
Leading on EMEA Compliance regulatory and strategic initiatives and acting as the EMEA Compliance coordinator for Global Compliance initiatives
Providing support to the compliance advisory teams with respect to Global initiatives impacting their area
Manage a wide variety of EMEA Compliance led regulatory and strategic initiatives
Review and recommend enhancements for first and second line control frameworks for existing regulatory obligations
Act as compliance lead on regulatory reform projects to ensure delivery of appropriate control frameworks post implementation
Act as the EMEA Compliance representative on EMEA and Global Compliance owned initiatives and processes
Professional and articulate
Good communication skills - able to present complex matters succinctly to a range of audiences (Compliance and across the Firm’s other Divisions, including Legal)
Strong interpersonal skills - working with staff and external stakeholders of all seniority

Strategic Regulatory Initiatives Organization Resume Examples & Samples

Remain informed and have a basic understanding of regulatory expectations and best practices supporting capital planning
Actively contribute to the overall management and execution of the CCAR process, and drive change and enhancements identified by management and/or regulators. Examples include
An understanding of the banking business; prior experience in Risk or Finance a plus
Exceptional oral communication, writing and presentation skills, with ability to synthesize complex concepts, translate into "user-friendly" language, and effectively present in text or slide format
Excellent influencing, facilitation, and partnering skills. Ability to manage multiple priorities and tasks, work well as part of a team, voice concerns or questions and exhibit strong people skills
Enjoy variability in projects and skills required to meet goals and objectives

Strategic Regulatory Initiatives Senior Manager Resume Examples & Samples

Lead re-engineering and cross functional projects and work-stream efforts from problem identification to successful solution implementation
Interact closely with assigned stress testing risk and finance work-streams to manage and enhance their processes ensuring timely responses and successful solution implementation
Analyze and present insightful materials about the capital planning process, remediation efforts and outcomes to senior management
Contribute to other regulatory exercises, including the Recovery Plan and Resolution Plan
Strong analytical and quantitative skills— Ability to quickly assimilate & analyze
Project manager experience—Ability to multi-task and to influence large working groups that do not report into the candidate; Consulting / re-engineering background and strong interpersonal skills a plus
Enjoy variability in workload, particularly in a wide range of quantitative and non-quantitative projects
Strong attention to detail; willingness to "roll up sleeves"; tireless work ethic
Finance or Risk background a plus—Subject matter expertise or strong understanding of regulatory environment a plus
Organizational savviness with ability to expand internal network across functions and to interact with various levels of seniority
BA/BS and 10+ years of experience

CIB F&BM Regulatory Initiatives & Standards Associate Resume Examples & Samples

Involvement in the governance & reporting of Finance–related Standards & Policies. These include P&L and Risk Standards, Significant Transaction Standards, External Reporting Standards, Pre-trade governance guidelines, Volcker guidelines & Controls, as well as other policies
Assist with certain aspects of the regulatory relationship agenda for Markets Product Control
Coordinate & prepare responses to regulatory agencies, pertaining to requests or regulatory exams impacting Product Control
Take part in other control projects, such as the Front Office Supervision and data management
Ensure the Program’s activities align to the department’s Technology agenda, Risk and Control Self Assessments (RCSA) and Action Plans
Response to related ad-hoc requests from senior management, other functions & audit
Assist with the execution & implementation, with LOB and other functional partners (Market Risk, Middle Office, Market Risk etc.) of Policies & Standards impacting Markets Product Control
Experience in Product Control and Regulatory or External Reporting required
Strong verbal and written communication skills, including preparing & present materials to executive audiences
Strong analytical skills, with ability to articulate and summarize findings to a broad audience
Knowledge of financial products including derivatives
Knowledge of P&L, Risk, Balance sheet and accounting concepts
Creative self-starter with strong initiative, ability to take ownership and work independently as well as contribute to the broader team

Strategic Regulatory Initiatives Organization Resume Examples & Samples

Work on cross functional projects and work-stream efforts from problem identification to successful solution implementation
Analyze and present insightful materials about the capital planning process, including stress loss analysis (by business, by geography, will help with peer analysis and macro driver sensitivity analysis)
Will be involved in remediation efforts across work streams
Contribute to other regulatory exercises, including the Recovery Plan and Resolution Plan, as well as global ICAAPs
Monitor CCAR rule/instruction changes and evolving regulatory expectations; provide advice and guidance to senior Risk, Finance and business executives
Influencing ability—will be asked to work with large working groups that do not report into the candidate; Consulting background and strong interpersonal skills a plus
Enjoy variability in workload, particularly in a wide range of quantitative and non-quantitative projects; will often be asked to multi-task
Finance or Risk background a plus—Experience or strong understanding of regulatory environment a plus
BA/BS and 5+ years of experience

HR Governance & Regulatory Initiatives VP Resume Examples & Samples

Oversee execution of the SMCR Certification framework, procedures, and processes, specifically
Administration and control of the Fitness & Propriety and certification policy, procedures, and assessments
Knowledge of the existing UK and EMEA regulatory environment preferred
Experience interpreting regulation and incorporating into the relevant HR policies and procedures
Excellent communication and collaboration skills - ability to represent HR function and influence at all levels and businesses of the Firm

CIB F&BM Regulatory Initiatives Management Resume Examples & Samples

Define and manage delivery of projects as part of the team’s broader regulatory agenda, coordinating with LOB representatives at all levels
Assist with defining the strategic objectives required to meet and anticipate regulatory requirements
Coordinate & prepare responses to regulatory agencies, pertaining to requests or regulatory exams impacting Product Control
Assist in governance & reporting of Finance–related Standards & Policies, including P&L and Risk Standards, Significant Transaction Standards, External Reporting Standards, Pre-trade governance guidelines, Volcker guidelines & Controls
Represent the group in other control projects, such as Front Office Supervision and data management
Ensure the Program’s activities align to the department’s strategic agenda
Respond to related ad-hoc requests from senior management, other functions & audit
Knowledge of financial products including derivatives
Knowledge of P&L and Risk concepts
Experience in Product Control preferred
Experience of managing projects preferred
Strong verbal and written communication skills, including preparing & presenting materials to executive audiences
Good analytical skills, with ability to articulate and summarize findings to a broad audience
Creative self-starter with strong initiative, ability to take ownership and work independently as well as contribute to the broader team