Regulatory Analyst Resume Sample
Travis Lebsack
3788 Durgan Brook,
Los Angeles,
CA
+1 (555) 186 4255
Work Experience
Senior Regulatory Analyst
01/2018
-
PRESENT
Houston, TX
- 3 – 5 years experience in Financial Services, preferably Investment Banking
- Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA relating to order handling rules and/or federal securities laws
- Conducts routine reviews and investigations into possible violations of the relevant rules and regulations enforced by FINRA
- Leverage a deep knowledge and understanding of the banking industry and work in conjunction with the BCM leadership to prepare insightful analysis on regulatory changes and trends, as well as the implications of those changes for EY or for the firm’s clients
- Assists with analyzing trading activity in area of primary responsibility for indications of potential volatile activity
- Compiles and organizes information from a variety of sources to be used in the development of investigations of potential volatile activity
- Routinely analyzes trading activity in area of primary responsibility for indications of potential volatile activity
- Monitor filing due dates and plan resources to meet all deadlines accurately and on time
Regulatory Analyst
11/2014
-
10/2017
San Francisco, CA
- Develop and maintain written documentation of procedures for completing regulatory reports including management review
- Update and maintain currently effective utility tariffs, rules and regulations and tariff control log for each utility jurisdiction
- Writes, coordinates, compiles, and submits Regulatory documents to Regulatory Agencies in support of the Agri-Business product portfolio, globally
- Engages regulators, when necessary, in oral and written communications to discuss pending or new submissions, regulatory requirements, address questions etc
- Serves as RA subject matter expert and keeps current in regard to Agri-Business regulations, guidance documents, notices, and competitor news
- Conduct trainings and/or communicate appropriate materials, as needed, in order to enhance team’s knowledge of working in a regulated environment
- Participate in business meetings with internals stakeholders and existing and prospective external partners
- Respond to regulatory inquiries; this involves effectively communicating with various departments at the firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written response
Junior Regulatory Analyst
06/2008
-
09/2014
New York, NY
- Assist in supporting the ongoing relationship between the Company’s assigned jurisdiction(s) and the Public Utility Commission(s) of the assigned jurisdiction(s) by establishing regulatory rapport with the Staff and other members of the external regulatory community
- Participate in the development of regulatory policies and initiatives that support business strategies, which support the Company’s long term regulatory goals and support the financial health of the Company
- Support complex data analysis to inform decision making, design and file financial models for concurrent cost recovery riders and adjustments clauses
- Performs complex financial analyses independently with minimal assistance from managers
- Provides accounting and financial information and support for major, non-traditional regulatory recovery mechanisms
- Performs complex rate of return and other regulatory driven calculations
- Analyzes and interprets accounting and financial regulatory issues
- Prepares responses for data requests and other filings independently for state regulatory commissions
- Obtain, analyze and interpret Company financial and statistical data to be used in regulatory reports, filings and studies
Education
California State University, San Bernardino - Palm Desert Campus
2003 - 2007
Bachelor's Degree in Accounting
Professional Skills
- Strong interpersonal skills. Effective collaboration skills and excellent oral and written communication skills
- Strong skills and demonstrated experience with Microsoft Office suite
- Excellent negotiation skills to represent BGE effectively with regulators and other stakeholders
- Good stakeholder management skills – experience working in a matrix management model and with virtual teams
- Excellent analytical skills and the ability to correctly interpret underlying information and assess impact on regulatory returns
- Demonstrated analytical and organizational skills, ability to work on moderately complex activities
- Strong verbal and written communication skills and technical capabilities are also essential
How to write Regulatory Analyst Resume
Regulatory Analyst role is responsible for analytical, analysis, excel, presentation, financial, technical, interpersonal, quantitative, organizational, regulatory.
To write great resume for regulatory analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Analyst Resume
The section contact information is important in your regulatory analyst resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Regulatory Analyst Resume
The section work experience is an essential part of your regulatory analyst resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous regulatory analyst responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular regulatory analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Analyst resume experience can include:
- Regulatory experience, which is defined as significant experience working in the brokerage or investment advisory industry and handling compliance issues
- Demonstrates strong planning, organizing, prioritizing and project management skills
- Experience making recommendations to the board. (negotiation and strong analysis skills)
- Able to demonstrate and apply critical thinking, logic and strong analytical skills
- Team player with high-level of enthusiasm, strong work ethic, and excellent organization and communication skills
- Strong interpersonal, organizational, communication, customer-service, team-working and problem-solving skills
Education on a Regulatory Analyst Resume
Make sure to make education a priority on your regulatory analyst resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory analyst experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Regulatory Analyst Resume
When listing skills on your regulatory analyst resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical regulatory analyst skills:
- Excellent writing skills, visual presentation capability, and verbal communication skills
- Strong interpersonal skills, good judgment and capability of communicating with a diverse range of individuals
- Solid interpersonal, organizational, communication, customer-service, team-working and problem-solving skills
- Attention to detail with excellent editing skills
- Effective interpersonal skills including tact and courtesy
- Strong Microsoft Office applications skills, including Outlook, Word, Excel and Access
List of Typical Experience For a Regulatory Analyst Resume
1
Experience For Senior Regulatory Analyst Resume
- Demonstrated ability to work effectively with employees and outside parties at all organizational levels
- Strong skills with compliance related-software applications required
- Positive “can-do” attitude and excellent data analysis skills
- Preparing regulatory filings, testimony and supporting schedules to effectively advance the Company’s technical regulatory strategies
- Able to communicate effectively in writing, e-mail and verbally
- Great communication and presentation skills and fluent English and Korean (written and spoken)
- Demonstrated ability to handle multiple assignments, prioritize workload, and meet deadlines
2
Experience For Public Utilities Regulatory Analyst Resume
- Direct and positive experience in communicating with Regulatory Authorities (e.g. PIWet, FLI) and Distributors
- Demonstrated ability to lead projects, work well in a team environment and establish and maintain cooperative and positive working relationships with others
- Five (5) years of experience in finance or regulatory environment
- Experience of remote management of processes
- Experience in business planning, regulatory process, marketing and/or project management
- Excellent conceptual capacity and ability to acquire and understand the implications of new information are required
- Strong work ethic and attention to detail are required
- A CPA or MBA and experience in a broker-dealer regulatory environment is preferable
3
Experience For Environmental Regulatory Analyst Resume
- Demonstrated ability to conduct independent research and analysis
- Demonstrated ability to prepare and present high-quality written and oral testimony, reports, and/or presentations on complex issues
- Developing and communicating requirements for system (CDMS) updates and changes relating to downstream user communication processes
- Monitoring and communicating emerging regulatory issues and the potential impact on the Company’s operations
- Supporting Company establishing and maintaining its authority to do business in all jurisdictions
- Training: Cross train other members of the team on SMMD reporting to ensure adequate sickness and holiday cover
4
Experience For Psegli Lead Regulatory Analyst Resume
- Partnering with 3M suppliers and business units to identify the polymer building blocks used in the manufacture of polymers that 3M imports into the EU
- Providing REACH training to 3M regulatory and technical staff
- Assisting in authoring safety data sheets and labels to support REACH hazard communication requirements
- Labeling / marketing material and contracts review
- Understanding of micro-economic theory and the functioning of markets
- Reviewing and maintaining business-specific policies
5
Experience For Remuneration Regulatory Analyst Fixed Term Contract Resume
- Providing regulatory compliance advice to internal business areas and working with them on compliance plans and regulatory risk management
- Preparing written material (e.g. submissions, briefing notes) and reports on regulatory matters
- Providing oversight for the REACH downstream user communication processes related to vendor materials used by 3M
- Partnering with the 3M REACH Coordination Center to implement and improve business processes related to downstream user communication requirements
- Providing business units with proactive and reactive REACH regulatory expertise and guidance to maintain products in the EU marketplace
6
Experience For Wealth Management Regulatory Analyst Resume
- Providing the analytics necessary to support cost recovery initiatives, regulatory filings and regulatory strategy
- Understanding of wholesale power markets and procurement mechanisms such as power purchase agreements (PPAs)
- Managing inter-agency work products
- Working knowledge of relevant FINRA/SEC rules and regulations and ability to conduct telephone interviews
- Understanding and knowledge of FERC’s system of accounts and of all required statements used in Section 4 or 5 rate case filings
- Acting as the subject matter expert for business stakeholders on compliance, regulatory and risk related matters
- Preparing responses to data requests
7
Experience For Senior Technology Regulatory Analyst Resume
- Analyzing the economic feasibility of customer bypass
- Understanding of the California transmission planning process
- Working closely with EMEA regulatory team
- Managing inter-agency relationships and work products
- Understanding of energy efficiency or other distributed energy resources
8
Experience For Brokerage Operations Control & Regulatory Analyst Resume
- Planning, organizing, and coordinating projects and workload, either independently or as the coordinator of a small multi-disciplinary team
- Understanding of wholesale power markets
- Bring a high level of energy and commitment to the team
- Change Requirements: Collaboration with Change Team, inputting into requirement gathering for system development, building test cases, performing UAT
- Develop expertise regarding the California energy markets, long-term energy resource planning, and the state’s transmission planning process
- Coordinates the preparation of compliance reporting to ensure full compliance under the ordering paragraphs of the federal and/or state permitting agencies
9
Experience For Compliance & Regulatory Analyst Resume
- Maintain existing funds (including disclosure documentation, service provider documentation, and onboarding issues)
- Prepare and file monthly and annual reports to the Commission, including Purchased Gas Cost Adjustments and Conservation Tracking Adjustments
- Obtain regulatory permits, including import / export clearance requirements and regulations, in support of animal products including compliance
- Assist with contract compliance monitoring and auditing activities
- Support monitoring and reporting activities on a regular basis
- Adapt to change, demonstrating resilience, initiative and providing consistently sound judgement under pressure
- Performs SOX internal control testing and records testing results to maintain adequate internal controls and comply with Sarbanes-Oxley requirements
10
Experience For Ahca Regulatory Analyst Resume
- Speak to groups regarding regulatory issues
- Analyze and interpret accounting and financial regulatory issues
- Assists with the implementation of rate changes and the administration of existing rates and tariffs
- Knowledge of utility tariffs and utility accounting
- Address any future bugs or system enhancements necessary for additional reporting requirements / regulation
- Assist in the preparation of quarterly reports tracking TGP’s financial performance, shipper contracts and volume information
- Monitor TGP’s profitability using actual and budget information
- Compose submissions to State Insurance Departments that clearly and accurately communicate the changes being made to State Auto’s rates/rules/forms
- Participate in training programmes to develop Regulatory knowledge relevant to different client types, products and countries
List of Typical Skills For a Regulatory Analyst Resume
1
Skills For Senior Regulatory Analyst Resume
- Excellent written and verbal communication skills, including experience presenting and writing white papers, reports, and memos
- Strong quantitative analysis skills and extensive experience using Excel and/or Tableau for data analysis and developing charts, tables and figures
- Excellent skills in time management, prioritization, and multi-tasking required
- Able demonstrate the manual dexterity to operate a personal computer effectively
- Demonstrates coaching and mentoring skills
- Demonstrated oral and written communication skills, including the ability to write persuasive and clear testimony, reports, and comments
- Demonstrated communication skills, both oral and written, including the ability to explain complex subjects in a clear and understandable manner
- Strong IT literacy and writing and analytical skills
2
Skills For Public Utilities Regulatory Analyst Resume
- Strong communication skills, both written and verbal in Spanish, and in English would be an asset
- Proficient in Microsoft Office Suite with especially strong Excel and Word skills
- Solid interpersonal, organizational, communication, team-working and problem-solving skills
- Strong software skills, including Excel, Word, and Access
- Demonstrated negotiation and advocacy skills, and ability to interface with various levels of management
- Outstanding analytical, problem assessment, and problem solving skills
- Prior experience in developing regulatory applications and supporting formal regulatory proceedings including public hearings at the NEB or OGC
- Prior experience analyzing or interpreting regulatory and/or judicial findings
- Bi-Lingual capabilities required including the ability to speak fluent English, including business English communication skills
3
Skills For Environmental Regulatory Analyst Resume
- Proven record of experience in the regulatory environment, public accounting, finance and/or accounting discipline
- Proven experience in the regulatory environment, financial planning, finance and/or accounting discipline
- Advance computer skills, including proficiency in Microsoft Word and Excel
- Experience in the insurance or banking industry with a primary focus on compliance, or related experience
- Communicate effectively and establish client-facing relationships and rapport
- Good judgment and professionalism in prioritizing critical or time-sensitive matters
- Teamwork and advanced problem solving skills
4
Skills For Psegli Lead Regulatory Analyst Resume
- Effectively lead monthly FOCUS review meetings to include presenting variance analysis to senior management
- Lead a team effort drawing on staff and skills across the organization
- Highly organized with superior writing and verbal communication skills
- Experience in state and/or federal regulatory and rate setting process, or equivalent experience
- Prior experience with US GAAP and FERC financial reporting
- Effectively communicate, both in writing and verbally with others in a professional manner
5
Skills For Remuneration Regulatory Analyst Fixed Term Contract Resume
- Effectively manage diverse workload with regulatory reporting deadlines
- Communication (written and spoken) skills
- Attention to detail and organizational skills are essential
- Technical analysis skills - analysis of any of the following: complex data sets or models, complex operations/processes, complex quantitative issues/problems
- Policy/economic analysis skills - ability to analyze policy and market issues, particularly with regard to electricity or energy markets
- Demonstrated ability to conduct technical, economic, and policy research and analysis, identify issues, and recommend effective courses of action
- Proven professional experience working on regulatory issues in the public or private sector, or in another area which has similar dynamics
- Proven ability to assess/manage regulatory risk against competing priorities
- Working knowledge of Capital Markets and Wealth/Asset Management businesses and experience of working in a major investment bank/Compliance department
6
Skills For Wealth Management Regulatory Analyst Resume
- Working knowledge of and experience with privacy, information security, and insurance laws and regulations
- Experience with managing data, developing and using databases, and presenting data
- Experienced at gathering data and synthesizing information; and conducting complex economic, regulatory, and financial analysis
- Experience analyzing and reporting upon items affecting a utility’s authorized cost of capital
- Experience gathering data and synthesizing information; and conducting complex economic, regulatory, and financial analyses
- Experience gathering data and synthesizing information; and conducting complex economic, regulatory, and financial analysis
- Experience gathering economic, regulatory, or financial data; analyzing and synthesizing the data in a cohesive manner
- Completion of Short Interest and Portfolio Margin reporting submitted to FINRA including data validation for accuracy
7
Skills For Senior Technology Regulatory Analyst Resume
- Experience developing and implementing whole house residential energy efficiency programs
- Experience in financial and/or regulatory accounting/reporting
- Experience working with the Globally Harmonized System of Classification and Labeling (GHS)
- Experience presenting and facilitating meetings or workshops
- Experience in dealing with group insurance contract drafting and regulatory compliance issues
- Experience with designing and developing workbooks and dashboards in Tableau
- Experience working across multiple manufacturing sites is recommended
- Experience in financial services, regulatory risk management, and/or accounting
8
Skills For Brokerage Operations Control & Regulatory Analyst Resume
- Write clear and comprehensive reports on complex issues. Experience preparing reports/presentations on complex regulatory issues
- Strong understanding of regulatory framework
- Experience working with document database and production systems
- Three or more years of experience in accounting or related field
- Demonstrated ability to analyze data and create models using Excel or other computer-based quantitative tools
- Demonstrated ability to establish and maintain cooperative and positive working relationships with others (internally and externally)
- Direct experience in communicating with Regulatory Authorities and Distributors
- Experience working in Technology Risk & Controls management or Technology Audit function
- Experience using the CDMS (ProSteward) software
9
Skills For Compliance & Regulatory Analyst Resume
- Experience participating in formal proceedings for water or communications utilities
- Demonstrated ability to read and understand complex rules and requirements for use in developing policies and practices
- Technical knowledge related to power generation and an understanding of how California’s electric power market operates
- Experience working with government agencies, academics and research organizations, and leaders from the private sector
- Experience working with disadvantaged and/or under-served communities
- Demonstrated proficiency with quantitative analysis and data analysis applications, including Microsoft Excel
- Previous experience working in a regulatory environment and with environmental and socio-economic assessments
10
Skills For Ahca Regulatory Analyst Resume
- Strong analytical and quantitative ability, particularly related to economics, finance or accounting
- Demonstrated ability to develop complex spreadsheets and present analyses using advanced spreadsheet functions with limited oversight
- Experience in dealing with group insurance contract and regulatory compliance issues in Group & Worksite Products
- Experience analyzing legislation/regulations
- Proven success managing medium – large scale projects from concept development through successful implementation
- Experience working with cross-discipline teams
- Three to five (3-5) years of accounting or finance related experience
List of Typical Responsibilities For a Regulatory Analyst Resume
1
Responsibilities For Senior Regulatory Analyst Resume
- Demonstrated quantitative skills and experience with MS Excel
- Highly organized (ability to manage multiple priorities and/or issues). Strong analytical and computer skills
- Experience in leading/effectively participating in project teams
- The ability to work effectively with senior management, and foster strong working relationships across the modelling and business community
- Strong analytical and decision make skills
2
Responsibilities For Public Utilities Regulatory Analyst Resume
- Effectively handle day-to-day queries from Regulators, preparing reports and analysis in response and maintaining relevant logs
- Experience in data analysis or the interpretation of adverse experience information is required
- Demonstrated ability to conduct technical economic, financial, and/or policy analyses, identify issues, and recommend effective courses of action
- Presentation skills (at board level)
- Strong UCITS / AIFMD experience
- Strong UCITS/AIFMD experience
3
Responsibilities For Environmental Regulatory Analyst Resume
- Permitting/planning/land experience
- Experience in interfacing with regulatory agencies and their personnel
- Regulatory reporting experience within the financial services industry (desirable)
- Experience using Lexis Nexis and other tools to research legal and regulatory issues
- Solid and proficient in varying analysis/research techniques with the ability to provide well thought out recommendations
- Multinational work experience, in a mid to large size company
- Proactively identifies recommendations and solutions to enhance team’s effectiveness and framework
- Experience in clinical, pharmaceutical industry, or related field
- Previous work experience desired
4
Responsibilities For Psegli Lead Regulatory Analyst Resume
- Adjust priorities quickly and flexibly with minimal supervision
- Work tactfully with strong personalities
- Highly organized (ability to manage multiple priorities and/or issues)
- Experience in detailed documentation of processes and procedures
- Manage one's time, set priorities and manage a dynamic workload with critical deadlines is required
- Demonstrated ability to design research, collect data, conduct analysis, and make practical recommendations
- Demonstrated ability to write and present reports that include findings, conclusions and recommendations
5
Responsibilities For Remuneration Regulatory Analyst Fixed Term Contract Resume
- Demonstrated ability to work independently and as part of a multi-disciplinary team
- Demonstrated ability to perform complex technical, economic, financial, and/or policy analysis and research
- Demonstrated ability to write, present, and defend reports that include findings, conclusions and recommendations on controversial issues
- Experience or knowledge in the electricity industry
- Work well under pressure, with minimal supervision, to analyze situations accurately and take effective courses of action
- Supporting or leading multi-disciplinary teams in the preparing regulatory filings
- Supporting Company compliance with statutory, regulatory and/or judicial requirements
- Working knowledge of Open Wells, LOWIS
6
Responsibilities For Wealth Management Regulatory Analyst Resume
- Acting as the primary point of contact for Compliance, Legal and Risk teams
- Providing Globally Harmonized System of Classification and Labeling (GHS) classifications for 3M materials
- Performing hazard assessments of chemicals and 3M materials
- Authoring of safety data sheets, labels, and transportation documents
- Providing hazard communication regulatory support to 3M business units and international companies
- Performing financial and operational analyses to ensure recorded and statistical information is completed and maintained in a timely and accurate manner
7
Responsibilities For Senior Technology Regulatory Analyst Resume
- Understanding of California Regulatory and policy environment, particularly Commission Orders and Polices related to passenger transportation
- Assist department personnel in identifying, discussing and evaluating potential efficiencies in the gas cost accounting and regulatory reporting functions
- Act as a liaison with Fuel Accounting, System Planning and other internal groups to support and ensure regulatory compliance and address emerging issues
- Oversees accurate and timely processing, tracking, and filing of federally mandated submissions
- Responsible for keeping abreast of new and proposed developments in the gas cost accounting and regulatory fields and analyzing the impact on the Company
- Perform complex accounting and regulatory reporting activities
- Responsible for preparing and filing Department of Energy mandated reports for petroleum imports
- Maintain of regulatory-related internal tracking databases and filing systems
8
Responsibilities For Brokerage Operations Control & Regulatory Analyst Resume
- Provide coaching and mentoring to junior staff
- Researches regulations by reviewing regulatory bulletins and other sources of information related to licensing
- Performs splitting of obligations and facilitates the certification process of Laws/Regulations impacting organization
- An understanding of investment banking products (desirable)
- Perform special assignments requested by Gas Accounting and Regulatory Reporting management
9
Responsibilities For Compliance & Regulatory Analyst Resume
- Maintain positive professional working relationships with all employees, regulators, commission staff, business associates, consultants and customers
- Support GTI’s key Control Testing program; RCSA (Risk & Control Self Assessment)
- Monitors and updates the Bank’s collateral tracking system for compliance and quality control
- Keep business unit staff and managers updated on status of permitting actions associated with permits.
- Assist with the preparation and presentation of expert testimony relating to rate design, cost of service, volumes and related areas, before the Commission
- Develop utility and jurisdictional allocation factors to enable jurisdictional reporting
- Research, analyze, compile, prepare and/or coordinate preparation of information including but not limited to
- Assist in updating CE/IVD Technical Files
10
Responsibilities For Ahca Regulatory Analyst Resume
- Review advertising and promotional materials against internal policies and external guidance/regulations
- Data entry and electronic filing support
- Maintains compliance with all applicable requirements concerning rates, gas costs and tariff-related matters
- Act as budget coordinator for the department and assist in the development of departmental presentations including power point presentations,
- Monitor commission rulemakings and participate as needed including the preparation of comments to be filed
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