Regulatory Business Analyst Resume Sample
Jack Herman
9955 Mayert Fall,
Phoenix,
AZ
+1 (555) 469 5581
Work Experience
Senior Regulatory Business Analyst
01/2017
-
PRESENT
Chicago, IL
- Collection and analysis of business requirements for all regulatory change across Listed and OTC Rates businesses and development of appropriate business solutions
- Collection and analysis of business requirements for both new services and modifications to existing services and development of appropriate business solutions
- Definition of appropriate solution and impact assessment of change
- Verify business solutions are tested and implemented in accordance with specifications
- Communication with both internal and external stakeholders, both business and technical
- Build detailed knowledge of the regulatory framework and derivatives clearing services provided by LCH. This covers clearing, market data, risk management and collateral functions
- Knowledge of appropriate regulation, listed rates futures and options as well as OTC Swaps
Regulatory Business Analyst
04/2013
-
09/2016
Los Angeles, CA
- Develops plans and actively provides planning support for all programmes/ projects in BUK Regulatory Management programmes/ projects
- Establishes the planning standards for the programme/ projects working closely with the portfolio level requirements, wider organisational ask and the programme requirements
- Creates a suite of planning tools, including exceptions reporting and analytics
- Manages and runs the Programme controlling and monitoring of plans for all key signature programmes
- Provides active support to the Portfolio and programme managers as required, and able to represent them in meetings where required
- Manages plan-related risks, issues, assumptions and dependencies and works closely with management team to ensure they are actioned appropriately
- Pro-actively works with the portfolio finance team to ensure feasibility of plan delivery within budgetary constraints
- Feeds into and provides quality assurance of programme/ portfolio status reporting & KPIs
CIB F&BM Regulatory Business Analyst
01/2007
-
11/2012
Dallas, TX
- Supports demand/capacity management tool/process for function/ programme team resources
- Takes a hands on approach to ensure governance, financial and resource management
- Develops with the vendors to maximise the value for the function and smooth running of the relationship working closely with the teams as required
- Pro-actively works with the AE, Portfolio Managers, PMs and PMOs to mitigate the non-delivery risks
- Support implementation and assurance of change governance standards in the BUK Regulatory Management function & the assigned programmes/ projects (Group Change Governance Framework, BUK Regulatory Management methodology and mandated Change Methods and Tools)
- Support the annual planning, shaping and monitoring for the programmes and Supports consolidation, generation & quality assurance of portfolio status reporting & KPIs to required audiences and forums
- Consolidation, generation & quality assurance of plan related risks, issues, assumptions and dependencies for the portfolio
- Reviews and interrogates adherence to Barclays UK enterprise risk framework and other standards
Education
American InterContinental University - Atlanta
2002 - 2006
Bachelor's Degree in Business
Professional Skills
- Strong problem solving skills combined with analytical skills
- Excellent organization skills, use of good judgment and the ability to effectively manage time
- Proven skills of delivering and monitoring changes are PM/ PMO
- Established core BA skills: requirements gathering techniques and excellent knowledge of BRD and Functional specifications
- Strong stakeholder management & influencing skills (to a senior level)
- Excellent verbal and written communication skills with the ability to express complex concepts in lay terms
- Demonstrate experience of working for or closely with an IT, Transformation or Change department
How to write Regulatory Business Analyst Resume
Regulatory Business Analyst role is responsible for software, finance, credit, securities, training, database, reporting, design, research, insurance.
To write great resume for regulatory business analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Business Analyst Resume
The section contact information is important in your regulatory business 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 Business Analyst Resume
The section work experience is an essential part of your regulatory business 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 business 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 business analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Business Analyst resume experience can include:
- Support communication with stakeholders, including Head of Regulatory Management, Portfolio Lead, Business Unit Steering Committees, Operational Owners as required
- Establishes the planning structure and standards for the programme/ projects working closely with the portfolio level requirements, wider organisational ask and the programme requirements
- Prepare structured PowerPoint presentations/good comm skills
- Excellent communication skills and ability to carry out documentation in English
- World class BA skills
- Proven experience and exposure to Regulatory Change
Education on a Regulatory Business Analyst Resume
Make sure to make education a priority on your regulatory business 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 business 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 Business Analyst Resume
When listing skills on your regulatory business 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 business analyst skills:
- Demonstrated initiative and ability to learn and present new concepts, and possession of problem-solving skills. ·
- Financial or management accounting qualification: CIMA, ACCA or equivalent, or can demonstrate equivalent experience
- World class requirements gathering skills
- Proven experience of 2 to 5 years as a Business Analyst in the investment funds industry, capital markets or banking services is required
- Hands-on experience in project management in the banking sector and extensive experience related to one or several regulatory issues
- Clear and concise written/oral communication skills
List of Typical Experience For a Regulatory Business Analyst Resume
1
Experience For Tax & Regulatory Business Analyst Resume
- Experience in analysing large volumes of data to identify anomalies
- Liaise with Technical Solution Design to consider the most appropriate strategic, cost effective and deliverable solutions to problems
- Experience in the industry, knowledge of OTC and securities
- Providing regulatory SME support to technical team and reviewing functional specifications
- Preparing and reviewing test cases and test results
- Facilitating the transition to Business As Usual (BAU) processes to Finance
- Analysing data sets to identify affected or in-scope populations for new Regulations
- Escalating issues and risks to the Project Manager
- Devising risk mitigation strategies
2
Experience For Senior Regulatory Business Analyst Resume
- Documenting business requirements and functional specifications for sign off
- Interact with state and federal regulators, attorney general’s office on a broad variety of concerns regarding members and providers
- Research and respond to verbal and written regulatory concerns regarding members and providers
- Prepare dashboards concerning relevant regulatory issues and developments
- 4) Testing phase
- Drives and supports demand/capacity management tool/process for function/ programme team resources
- Actively supports all portfolio, programme and project annual planning and budget review exercises and Pro-actively works with the AE, Portfolio Managers, PMs and PMOs to mitigate the non-delivery risks
3
Experience For CIB F&BM Regulatory Business Analyst Resume
- SDLC and full software development lifecycle experience
- Business requirement and functional specification development with use cases
- General knowledge of relationship database and SQL
- Work as part of a global, cross-cultural team
- Draft & delivery Regulatory Business Requirements and User Test Requirements Documentation for sign off
- Coordinate workstream deliverables (level of effort estimates, BRD’s, FSD’s, User Acceptance Testing) across the various regulatory projects in each release of the Client Onboarding/Party Reference Data platform
- Opportunity to take responsibility and ownership for projects which are part of a major change initiative for the firm
- Future development opportunities within PCG, Business Operations, BPI, Technology and beyond in BlackRock
- Participate in and / or lead, as appropriate, process / workflow analysis and enhancements to support requirements
4
Experience For CIB F&bm-regulatory Business Analyst Resume
- Research regulatory impact to internal processes
- Solicit, research and document requirements
- Facilitate solution process outcomes
- Initiate and facilitate work sessions
- Would team with and take direction with Lead BA within the Tax & Regulatory BA team
- Stakeholders are global and hold roles as financial analysts, controllers, compliance offers, users, project managers and technical 3rd party vendors
- Work with CIB technology to analyze business flows and map surveillance flow and strategic data source
- Drive and govern the cross asset end to end Surveillance programs deliveries
- Understand how data flows within various OMS and RMS to provide input on strategic data store
5
Experience For CIB F&bm-finance Change Management UK Regulatory Business Analyst Associate Resume
- Work closely with CIB Technology and Compliance Technology for data quality issues and control
- Review of regulatory text and Liaison with internal and external stakeholders to gather and analyse requirements for regulatory change
- Analyse change requests and provide business impact assessment documents
- Provide business design input to third party suppliers
- Liaise with legal and compliance to agree solution against regulatory framework
- Manage multiple cross-functional deliverables
- Supporting the delivery of new systems and system enhancements for the team - requirements, analysis & UAT / Supporting the RTB processing team in terms of analytical and technical support, service management, process implementation, transition and change management
6
Experience For Finance Regulatory Business Analyst Resume
- Analysing data sets to identify affected or in-scope populations for new Regulations and applying Legal guidance to data-sets to identify populations for further review
- Work with the wider Projects team, IT, end users to design test cases
- Maintain functional and regression pack
- Understand the impact of regulatory requirements on CB processes and the business areas that use them and develop operating model designs and processes that implement the requirements in an optimal way from a client experience, process & cost efficiency perspective
- Strong self-management capability
- Proven conceptual know-how with ability to translate legal compliance and regulatory
- Experience, ideally in business analysis and project management in the financial sector and global environment
- Experience in compliance programs (FISMA, PCI, ISO 27001, etc.)
- Support the lead BA in facilitating project workshops, engaging stakeholders, subject matter experts and attendees at all levels
7
Experience For CIB F&bm-regulatory Business Analyst VP Resume
- Support in the management of key stakeholders across Barclays UK and the wider Group
- Interact with senior management and executive staff on a variety of issues
- Consult with the Compliance Attorney and executive staff on complex issues requiring significant research, analysis and understanding of health plan operations and benefits design
- Support other Compliance & Regulatory Affairs initiatives, as assigned
- Knowledge of health insurance regulations and coverage mandates
- Work independently and make decisions with minimal oversight from senior staff Adaptable and flexible with the ability to meet deadlines
- Proficient with multiple PC based software applications and systems
- Demonstrated ability to research, analyze, problem solve and resolve complex issues as evidenced by maintaining high quality standards with minimal or no supervision/oversight
8
Experience For Oats Regulatory Business Analyst Team Lead VP Resume
- Work independently and make decisions with minimal oversight from senior staff Adaptable and flexible with the ability to meet deadline. ·
- Microsoft Products (Word, Excel, Access, Visio)
- Financial management - financial management for the portfolio, working with Portfolio and Programme leads and PMOs to ensure that records in key systems and tools are maintained in a timely and accurate way. Coordinating key activities including the financial reporting cycles, budgeting and financial planning exercises
- Proactively supports the Delivery Authority Lead with development of programme and portfolio support services, including recommending enhancement and innovation in the processes, methodology and tools to increase the efficiency and effectiveness of portfolio/programme management processes and delivery
- Change Control – tracking change requests. Development / refinement of the change control processes within RIDGM and interfacing with wider governance
- Other tasks as directed by the Delivery Authority Lead
9
Experience For Client Reference Data Regulatory Business Analyst Resume
- Governance, Controls and Assurance - actively supports the establishment of, and adherence to, the key Governance Standards and Controls to effectively govern the Portfolio and individual programmes
- Plans and progress reporting - definition of the critical milestones and key outcomes which deliver the intended objectives and strategy of the programme aligned to the Plan
- RAID - Define process to escalate most critical risks and issues facing the programme (both process and content) at Business Unit / Function and group level, as appropriate. Evaluate programme wide most critical risks and issues and consider impact-level of inter-related risks/issues
- Centre of Excellence and capability building - proactively build quality into the delivery by acting as / maintaining the ‘Centre of Excellence’ for the Portfolio and Programme Delivery
- Experience to General Ledger query tools
10
Experience For Regulatory Business Analyst Release Management & Client Classification VP Resume
- Experience in analysing/manipulating large volumes of data to identify anomalies and a good understanding of Data flows, data mapping and systems infrastructure
- Global Finance Technology (GFT)
- EMEA IB Finance Program Management
- Middle office and Front office teams
- IB Technology & Operations
List of Typical Skills For a Regulatory Business Analyst Resume
1
Skills For Tax & Regulatory Business Analyst Resume
- Reporting defects, tracking, validating with Business analysts and IT department
- Experience with sales, trading, or electronic trading , trade booking within any markets trading business (FICC, F&O, Equities)
- Experience of being in a diverse team, enabling a ‘one team’ culture and a positive working environment
- Experience gathering and documenting requirements, user stories and supporting solution design
- Experience in managing portfolio / programme finances and delivering all aspects of governance and reporting services
2
Skills For Senior Regulatory Business Analyst Resume
- Experience in analysing/manipulating large volumes of data suing Access/Excel
- Good understanding of derivatives trading and lifecycle (FX, Rates) with special focus on FX cash and options trading and lifecycle
- Good knowledge and understanding of PRA/ FCA, BoE and/ or COREP reporting requirements essential (or equivalent EMEA Regulator rules)
- Expertise in working with Visio, MS Project and good Understanding of Financial Services environment
- A good understanding of Data flows, mapping and systems infrastructure
- Experience of working with SAP (for budget/cost centre management)
- Relevant experiences as Business Analyst working on projects for the Finance department of an investment bank / financial services company
- Experience in government contracting, business, or compliance
3
Skills For CIB F&BM Regulatory Business Analyst Resume
- Experience of Developing Regulatory Requirements in alignment with regulatory rules
- Strong understanding of a financial services environment
- Experience in various analysis techniques e.g. SSADM, Agile
- Project/Programme/Portfolio Management and PMO experience gained in a Financial Services environment
- Ensure that detailed analysis of requirements is conducted and signed off by the business to ensure effectiveness, relevance and accuracy
- Ensure that knowledge and experience is shared through best practice
4
Skills For CIB F&bm-regulatory Business Analyst Resume
- Support the lead BA in validate technology designs and solutions against business requirements and complete appropriate traceability
- Proficient with multiple PC based software applications and systems. · Demonstrated ability to work independently and in a team environment
- Understanding of Client & Account data inc Client On-boarding/KYC processes, data distribution/interfacing methods & technologies
- Working with people that do stress testing models, credit reporting, credit data stewardship
- Recording test results and reporting them to Test manager. Also identify solutions to improve/enhance testing e.g. automation
- Working knowledge of regulatory change and Working knowledge of remediation initiatives
- Understanding of full project lifecycle including traceability
- Supporting Dodd Frank Risk program with project going into 2018
- Driving out requirements for credit risk, in relation to risk & regulatory space, developing data requirements
5
Skills For CIB F&bm-finance Change Management UK Regulatory Business Analyst Associate Resume
- Working with technology group to ensure implementation correctly, testing in production
- Understanding of Client & Account data incl. Client On-boarding/KYC
- Eliciting Requirements from stakeholders using a range of elicitation techniques
- Working with business partners in ensuring the needed level of research is completed to accurately define the solution benefits and risks
- Analyzing and documenting requirements
- Leading impact assessments of new regulatory updates and the impact on the Corporate Bank
- Understanding of markets data sets (instrument reference data, client reference data, trade, FIX, etc.)
6
Skills For Finance Regulatory Business Analyst Resume
- Understanding of Agile software development principles
- Working with technical teams, business users and support teams to determine transition requirements for the implementation
- Capability to handle various project phases ranging from the writing of specifications to the post production follow-up
- Articulate risks versus rewards surrounding project dynamics
- Support User Acceptance Testing (as necessary)
- Knowledge of SIT\UAT\OAT and performance processes including test case scenarios
7
Skills For CIB F&bm-regulatory Business Analyst VP Resume
- Knowledge/expertise in managing multiple project/programme plans
- Knowledge/expertise in managing finance cost centres/project budgets and expertise in resource/capacity management tools
- Work to become an LCH Rates Derivatives Service expert, allowing rapid assessment of change
- PRINCE2 / PMP; Managing Successful Programmes; P3O / other PMO accreditation
- Document analysis, requirements gathering, impact assessments and change requests
- Support coordination of User Acceptance Testing
- Support improved adoption of existing controls and escalations where appropriate
8
Skills For Oats Regulatory Business Analyst Team Lead VP Resume
- Conduct research and review trends on emerging regulatory issues
- Support the Civil Rights Coordinator or designee with monitoring of nondiscrimination grievances, and provide research and responses to concerns
- Write clear, concise and grammatically correct materials to explain rationale for the decision making process or health plan design concepts
- Articulate risks V’s rewards surrounding project dynamics
- UK Regulatory Production Reporting team
- Regulatory SME support to technical teams. Providing review and sign off of their Functional Specifications
- Timely escalation of issues and risks to the Project Manager ensuring robust risk mitigation strategies
- Execute UAT and regression testing
- Assist in system configuration and end-user training
9
Skills For Client Reference Data Regulatory Business Analyst Resume
- Contribute to project scope, approach and timelines, ensuring that UK Regulatory impacts are understood and requirements are fully met
- Obtain sign off approval from the UK Regulatory Reporting team
- Research / analyze data and business processes, as needed, via quantitative and qualitative analysis for requirements and to support solutioning
- Production of Business Definition/Solution Documents, covering business process flows, data models, use cases, functional breakdowns
- Manages and runs the Programme planning/ review meetings for assigned programmes
- Fast learner of complex processes
- Exposure to Data Management products in areas ETL (Informatica/Ab Initio), Data Quality, Meta Data Management and Big Data technologies
- Knowledge/expertise in programme governance standards and assurance
- A self-starter, independent and ability to work under minimal supervision
10
Skills For Regulatory Business Analyst Release Management & Client Classification VP Resume
- Able to drive/influence decisions & individuals without formal authority
- Provide input into future direction of Rates Derivatives Service
- Personal and professional development of self, and of others
- Lead impact assessments of new business and tech changes and any related change requests
- Work with the lead analysts to provide creative solutions to address MI requirements
- Leverage wider initiatives within immediate and wider team e.g. RIDGM and IIT
- Work with internal and external colleagues (outside IIT) to improve data quality
- Liaise with project managers, designers and development teams (on-site and off-shore) to ensure that deliverables are developed in line with requirements or Change Requests
List of Typical Responsibilities For a Regulatory Business Analyst Resume
1
Responsibilities For Tax & Regulatory Business Analyst Resume
- An affinity for regulatory topics and investment products and services
- Documentation and delivery of Comprehensive, High Quality Business Requirements and Functional Specifications for UK Regulatory platform AXIOM including detailed Regulatory Calculations and Reporting Requirements for review and sign off by UK Regulatory Reporting Teams
- Documentation, User Acceptance Testing and implementation
- 2) Requirement & analysis phase
- 3) Design and build phase
- Experience working on Business Requirements and Functional Specification documents for PRA/ FCA Regulatory Capital and Bank of England calculations and reporting (or equivalent EMEA Regulator rules)
2
Responsibilities For Senior Regulatory Business Analyst Resume
- Knowledge of the Reg platform Axiom is desirable
- Documentation and delivery of Comprehensive, High Quality Business Requirements and Functional Specifications including detailed Regulatory Calculations and Reporting Requirements for review and sign off by Regulatory Reporting BAU Teams
- Excel, Access, SQL Skills a distinct advantage
- Business analysis competencies
- LOB Product Controllers,
- 5) Implementation phase
- UK Regulatory Policy
- 1) Initiation phase
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