Regulatory Change Resume Sample
Emery Runolfsson
815 Fisher Haven,
Houston,
TX
+1 (555) 446 6637
Work Experience
Regulatory Change Manager
03/2018
-
PRESENT
Chicago, IL
- Substantial experience in managing regulatory change initiatives
- Proven experience in leading impact assessments for financial services organisations as a result of a regulatory change
- Experience of developing executive level strategic options and recommendations
- Experience of synthesising and developing assessment of regulation, impact and the strategic response to meet regulations
- Experience of shaping & planning initiatives to respond appropriately to regulatory developments
- Proficiency with the Microsoft Office suite of products (Excel, PowerPoint, Word et al.)
- KYC Centre of Excellence teams who perform due diligence checks,
- Global Account & Market Administration (GAMA) teams who open /amend/close accounts and markets,
- Client Data Operations who create CIDs,
Regulatory Change Analyst
05/2012
-
12/2017
New York, NY
- Client Tax Services teams, Tax Documentation and Tax Operations teams who ensure tax services are set up correctly
- The Contracts and Regulatory Administration Control team provide a repository for customer legal agreements for EMEA Asset Servicing and AIS clients
- The Global Client Activation Services (GCAS) teams establish the customer’s connectivity to the BNY Mellon intranet-based reporting platforms and provide training
- Market Conversion Services group who transfer cash and securities into the accounts
- When and as needed, also providing technology project management support to the Legal and Corporate Sector Compliance organizations in support of compliance programs or legal support initiatives
- A fundamental requirement within the firmwide Global Technology Controls Office function is the ability to operate as a team and in partnership
- Manage Dependencies within the Programme Director’s book of work as well as dependencies with other programmes
- Implement new and effective solutions to regulatory changes in a company that has Regulation as a key focus
- Gain exposure to the senior management of Aviva Investors
Strategy & Regulatory Change
08/2006
-
04/2012
Chicago, IL
- Work in a flat structure, directly with Heads of Business, which enables effective decision-making
- Line Management of a small team whilst reporting to our Head of Regulatory Change
- Working on global agenda for regulatory change management in Asia pertaining to the OTC Derivatives space as mandated by HKMA and MAS and impact that Dodd Frank, European Markets Infrastructure Regulation (EMIR), Retail Distribution Review, Markets in Financial Instruments Directive (MIFID II) have on PB Asia’s business
- Understanding of the Volcker rule
- Knowledge of financial products and regulatory rules
- Excellent analytical skills and ability to manage projects and work toward goals and milestones
- Strong communication and interpersonal skills with ability to work across regional and global teams
- Dedicated, enthusiastic and team-oriented personality
Education
Northwood University - Florida Campus
2001 - 2006
Bachelor's Degree in Management
Professional Skills
- Proven planning and organisation skills, and be able to communicate effectively
- Visio, Word, Excel etc with proven presentation skills – oral and written
- Excellent attention to detail and analytical skills with the ability to evaluate data and identify trends and themes
- Excellent Microsoft PowerPoint, Excel, Project and SharePoint skills
- Process improvement and reengineering skills
- Extensive experience of operating in a regulatory environment with strong, demonstrable knowledge of legislation and regulation
- Proven track record of interfacing effectively with business colleagues at senior management level
How to write Regulatory Change Resume
Regulatory Change role is responsible for analytical, compliance, legal, presentation, english, leadership, securities, retail, finance, training.
To write great resume for regulatory change job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Change Resume
The section contact information is important in your regulatory change 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 Change Resume
The section work experience is an essential part of your regulatory change 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 change 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 change position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Change resume experience can include:
- Excellent verbal and written communication skills in English paired with strong presentation skills
- Strong interpersonal and communication skills that engender strong partnerships with the business and support functions and create transparency of challenges
- Very good communication skills with ability to work in a global team
- Expertise in analysing financial statements and risk drivers, ideally with previous experience in financial controlling, treasury or risk control
- Experience in implementing regulatory change and leading change effort in general
- Experience in project, financial and risk reporting
Education on a Regulatory Change Resume
Make sure to make education a priority on your regulatory change resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory change 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 Change Resume
When listing skills on your regulatory change 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 change skills:
- Verify the proper documentation has been collected to demonstrate effective change management and evidence organizational compliance with laws and regulations
- Banking background. Strong understanding of derivative & non-derivative products with a solid appreciation of product lifecycle from execution to settlement
- Solid understanding of private banking regulatory landscape
- Good understanding of regulatory landscape
- Experience of managing a third party relationship
- Specific experience and knowledge of Operations and Trading systems and processes and Excel, Microsoft Project and Word
List of Typical Experience For a Regulatory Change Resume
1
Experience For Regulatory Change Manager Resume
- Working experience with risk models such as credit, market and operational risk and other concepts such as stress testing and Pillar 2
- A proven ability to influence, persuade and challenge senior Stakeholders outside direct control and up to Director Level
- Navigate across many different businesses and functional groups to align priorities and requirements
- We are transforming a highly critical division for one of the UK’s leading Life & Pensions firms
- Clear, accurate and comprehensive documentation produced and signed off, including project documentation, Operating Models and procedures
- Support the implementation/roll-out of CRS, specifically for the EMEA region
- Understand, interpret and draw conclusions from management, financial and risk data
- Proven financial sector experience and excellent understanding of regulatory rules that impact risk functions of a global bank, preferably in a risk management role in an investment or large commercial bank, consultancy firm or regulator
2
Experience For VP, Regulatory Change Management Resume
- Good network with regulators and industry organisations (such as BBA, AFME, IIF, GFMA) and willingness to participate in industry discussions and feedback to regulatory consultations
- A good understanding of wealth management and/ or retail banking, gained from working in a financial services and/or a leading consultancy organisation
- Experience of leading or supporting medium to large scale global change programmes or projects
- Highly motivated, with a proven ability to work on own initiative within a challenging/dynamic work environment
- Keep up to date with current and evolving requirements set out by regulators (globally) and articulating the impact of those requirements
- Excellent organisation and coordination skills and ability to consolidate complex material whilst working to tight deadlines. Ability to effectively manage meetings with various stakeholders
3
Experience For Regulatory Change Mgmt Compl Senior Analyst Resume
- Regulatory, controls or legal background, with the ability to analyse regulations, interpret their impact on the business and identify key challenges
- A familiarity with Sharepoint, Powerpoint and Excel
- Define and lead development of detailed understanding and key implications on the business model as a result of (1) Local and Cross-Border regulatory changes across Tax Compliance and (2) changes to Citi internal policies and procedures to strengthen the overall control environment
- Develop individual project artefacts as necessary, including Business Requirements Documentation (BRD’s),
- Develop BNY Mellon’s interpretation of regulatory requirements with input from Legal as required
- Participation in the coordination of any exams of BNY Mellon’s firms by regulators, or coordination of responses to regulatory requests
- Establish detailed Compliance reporting at a SHUSA level across all identified Compliance risks and related material regulatory interactions. As part of this ensure that consistent approaches to compliance data management are followed across LE’s to support required aggregation of issues and data
4
Experience For Regulatory Change Analyst Resume
- We are helping a range of Financial Services companies transform their digital offerings, responding to some of the biggest shifts we have seen in consumer behaviour
- We are currently working with a number of global banking clients to craft and manage their responses to several regulatory changes including AML, Basel III, FATCA, MIFID II and others
- Monitoring and assessing changes in the regulatory environment and production of analysis documents that can be easily understood by the businesses and clearly identify the key issues for BNY Mellon
- Leading for Compliance on major regulatory change programmes, through the provision of advice, interpretation of regulatory requirements with input from Legal and provision of effective challenge
- Participation in relevant industry fora working groups on regulatory change topics
- Production and input into traceability matrices for key regulatory initiatives
- Presentations on regulatory change matters to legal entity boards and committees, as well as line of business and regional fora
- Keys to the Position: Project Management experience within Asset Management environment, excellent written and verbal presentation skills, strong leadership and analytical skills. Experience with large global projects spanning many functional areas and systems. Regulatory background and proficiency. Ability to work independently and within a team
- Direct Project Management of Aviva Investors’ regulatory projects and change initiatives such as GDPR and SM&CR
5
Experience For Regulatory Change Programme Manager Resume
- Ensure all external and internal risk, compliance and legal standards are met
- Develop and deliver projects that contribute to the development of a robust, scalable and cost efficient regulatory environment within the firm and a strong control environment
- Process and Service improvements are delivered which improve efficiency and reduce risk
- Contribute to the creation, design and implementation of regulatory compliant trading desk business processes, supporting documentation and Quality Assurance (QA) deliverables, taking into account the detailed trading activity of trading desks across all asset classes and market sectors
- Support the Head of PTS to work with Subject Matter Experts (SME’s) to draft and maintain effective central compliance policies and procedures incorporating relevant Marsh Inc. and MMC policies as appropriate
- Assist in the assessment of key processes intended to embed compliance within the business and provide advice to colleagues regarding how to efficiently comply with the central compliance standards, policies and procedures
- Scan the regulatory horizon and work with the team to draft technical updates and summaries highlighting the impact of the change on the firms
- Assist in the development of internal and external reports (e.g. Board and Risk Committee)
- Assist in the full scope of preparations to support a visit by a Financial Services Regulator, Auditor or other review
6
Experience For Strategy & Regulatory Change Resume
- Respond to requests and manage the registrations of individuals with the Jersey Financial Services Commission and Swiss Financial Market Supervisory Authority (FINMA)
- Work with stakeholders to deliver the accurate and timely collation and submission of regulatory reporting information, to include, testing the information and chairing the financial and non-financial review meetings in line with each firm’s regulatory reporting cycle
- Work with the Head of PTS to research the firm’(s) response to FOS complaint referrals, propose remediation / compensation and respond within regulatory timeframes. To record and report FOS complaints in line with the firm’(s) governance arrangements
- Manage the half yearly confidence statement process, deliver the management information requirements and work with Compliance Business Partners to collate the action list
- Manage the annual senior management fit and proper attestation processes and research and assist with the completion of regulatory references for senior colleagues and leavers
- Carry out the quarterly governance review of the firm’(s) external websites to ensure they correctly reflect the entity structure and are compliant with regulations
- Work with the Head of PTS and Senior Stakeholders to develop applications and supporting papers for individual approved person authorisation and other regulatory applications (to include; variations of permission, (de)authorisations and fees)
- Assist in the response to Dear Compliance Officer enquiries relating to ELTO
- Act as author and publisher for the Compliance Connections intranet
7
Experience For Regulatory Change Management Project Manager Resume
- Support and collaborate with colleagues, MMC, Marsh Global Compliance and business stakeholders with respect to local and global projects and initiatives as required
- Project manage ad-hoc pieces of work as appropriate to support the promotion of compliant processes and culture across the firms
- Understand, assess and dimension the impact of regulatory changes on TTS Products and client construct
- Process review & evaluation. Understanding key components of demands faced by the data processing function and data consumers and articulating input into change projects to support the implementation of new Regulations
- Maintaining and developing relationships with key Stakeholders / data consumers, representing function amongst Operational peers embracing Data Quality principles and client service
- Relevant experience in leading change projects/programmes to a successful conclusion
- Lead the development or updating of relevant policies, procedures and processes in response to regulatory change
- Familiarity with significant regulatory changes (Dodd-Frank, EMIR, MIFID etc)
- Excellent analytical and communication skills, in particular good drafting skills and ability to present complex issues to mixed specialist and non-specialist audiences
8
Experience For Regulatory Change Compliance Officer Resume
- Provide analytical, documentary support to compliance project managers and other members of Compliance
- Assist in adherence to/ implementation of Compliance Programme Management tools to be leveraged by divisional compliance. Examples include
- Assist in adherence to/ implementation of Compliance Programme Management tools to be leveraged by divisional compliance
- Be responsible for the delivery of one or more Regulatory Change Projects within the PCB
- Partner with change teams across Finance and Risk to implement ‘Basel 4’ regulatory changes
- Lead the monitoring of, and response to, legislative and regulatory developments including working with the business to analyze and address impact of regulatory developments
- Partner with the HoC with the management of key regulator relationships in the UK, Middle East and Europe
- Build effective internal and external networks (including industry associations and other relevant bodies) to ensure maximum regulatory awareness and application of best practice across the Bank
9
Experience For Regulatory Change Project Manager Resume
- Liaise with TAG on any technology impact of regulatory change programs and planning of associated IT projects
- Lead the monitoring of, and response to, legislative and regulatory developments including working with the business to analyse and address impact of regulatory developments
- Identify and manage key risks and issues, provide regular updates to governance forums and drive the communications agenda with clients and client facing teams
- Management of the risks and issues affecting programme/ projects delivery
- Provide guidance and direction to business and product partners, clusters and countries to ensure they deliver against milestones and track their progress
- Motivate and develop members to drive the best results for the organisations and help them through difficult conversation with stakeholders given the demanding nature of the role i.e. landing every regulation with a delivery owner across Barclays UK
- Bi-lingual - English/French (orally & in-writing) – an asset
- Own projects assigned by Senior Management through to delivery as and when instructed to
10
Experience For Global Compliance Firmwide Fiduciary Team-executive Director Regulatory Change Management Resume
- Ensure Project Plans in place for all core projects, keep them current up to delivery
- Assist with ST, SIT & UAT as part of any relevant projects
- Delivery and ownership focused with a history of execution
- Strong communication and interpersonal skills – ability to partner effectively across product and segment partners, as well as Risk, Regulatory, Legal and Compliance teams
- Previous experience within Compliance or Legal function including proven leadership skills, or significant business experience or a history in control environment
- Relationships - Successfully building impactful working relationships
- Some understanding of applicable US regulations desirable but not essential
List of Typical Skills For a Regulatory Change Resume
1
Skills For Regulatory Change Manager Resume
- Proven ability to interact with technology teams and a strong appreciation of current technologies and how technology delivery projects work
- Experience working with front office / coverage / business colleagues and delivering positive and timely outcomes by engaging these stakeholders
- Experience in managing regulatory change initiatives
- Mentor and coach colleagues and clients by sharing experience
- Good understanding of global markets
- Previous experience working either within a financial/AM firm, or similar firms within a Compliance or Legal team, a law firms, or regulatory body
- A high level of business facing experience
- A good knowledge of BNY Mellon’s business and systems
- Demonstrated ability to lead small number of support staff to support delivery of analysis
2
Skills For VP, Regulatory Change Management Resume
- Experience of line management responsibilities
- Verify the proper documentation has been collected to demonstrate organizational compliance
- Experienced in stakeholder management at a senior level (e.g. ExCo level)
- Experience in running a global project/program
- Strong understanding of Citi’s businesses and functions, and their risk profiles
- Excellent English language written and verbal communication
- Substantial complex Project Management experience
3
Skills For Regulatory Change Mgmt Compl Senior Analyst Resume
- Strong knowledge and use of the FCA Handbook and regulatory reporting requirements
- Experienced Senior Stakeholder Manager
- Program Governance and Project Management Experience
- Experience of working in the Front Office and/or OTC Derivative business of an Investment Bank desired
- Min. 2-5 years of professional experience in project management or quality control
- Very good knowledge of MS Excel, MS PowerPoint and MS Word
- Relevant experience within the financial industry
- Excellent knowledge of risk-related regulatory frameworks globally, including Basel (II, II/5 and III), CRR/ CRD4 and SEC/Fed frameworks
- Participating in and/or leading the delivery of Compliance related training
4
Skills For Regulatory Change Analyst Resume
- Leading the implementation planning in conjunction with IT
- Coordinating the bank’s responses to new regulatory proposals that impact Risk and contributing to industry responses
- Managing and supporting interaction with regulators in relation to regulatory change related matters
- Inputting to the production and updating of policies and procedures
- Understanding Operations and associated IT systems
5
Skills For Regulatory Change Programme Manager Resume
- Defining objectives, scope, approach and benefits
- Managing stakeholders across the program
- Understanding where the project fits within the wider strategy of the Investment Bank business
- Providing leadership and direction to senior business leaders about regulatory changes and reforms
- Operating in accordance with the requirements of the Group Change Governance Framework and mandated Change Methods and Tools
- Delivering in accordance with PCB Regulatory Management methodology
6
Skills For Strategy & Regulatory Change Resume
- Ensuring the Programmes/Project for which they are accountable are aligned to, and deliver against, the objectives and strategy
- Ensuring project objectives are met within time, cost and quality constraints
- Ensuring the delivery of the Programme/project to appropriate levels of quality, on time and within budget, in accordance with the overall Programme Plan
- Managing the internal and external dependencies and interfaces between the projects
- Supporting the delivery of new systems and system enhancements for the team - requirements, analysis & UAT
- Trouble shooting & getting things done in a large changing organisation
- Collaborate with senior stakeholders from the asset-gathering business with a focus on optimising scarce resources for the Bank
- Work within the tight deadlines imposed for regulatory reporting while making continuous improvements that add value to our shareholders
- A regulatory background, including an understanding of both United Kingdom and European financial services regulation and legislation
7
Skills For Regulatory Change Management Project Manager Resume
- Lead the embedding of sustainable change within the business -- e.g., communications; training; and change management
- Awareness of Client On boarding functions
- Produces or assists with production of monthly and other reporting on regulatory changes and RCM efforts
- Maintains high level of awareness of banking and financial services industry regulatory matters
- Produce monthly project updates and other reporting on regulatory changes and RCM efforts
- Maintain high level of awareness of banking and financial services industry regulatory matters
8
Skills For Regulatory Change Compliance Officer Resume
- Knowledge/formal training in translation of regulatory requirements and impact assessment
- Work as part of project teams through to delivery engaging members of the DCS group where required
- Retail banking, cards and payments
- Support and participate in working groups for solutions development and implementation of regulatory change
- Hands-on and result oriented working attitude, can-do mentality
9
Skills For Regulatory Change Project Manager Resume
- Lead business change activities working with Front Office, Product, Control functions and Infrastructure areas across projects or work streams
- We do more work with the UK FS Regulators than any other consulting firm
- Influence and coordinate multiple internal stakeholders around a common goal and strategy
- Highly self-motivated and driven, proactive and creative problem solver
- Senior presence and ability to operate at different levels (e.g., research/analysis, thought-partnership with seniors, presentations, interactions with partners, clients)
- Delivery focus with ability to work to tight deadlines
- Cater for a diverse and fluid work slate
- IMC or other appropriate professional qualification
10
Skills For Global Compliance Firmwide Fiduciary Team-executive Director Regulatory Change Management Resume
- Ensure that assigned projects are maintained and properly managed through the regulatory change process
- Assess impacts of the various Regulatory Changes to the business lines
- Attest that the proper documentation has been collected to show compliance
- Identifies, mitigates, and escalates risks as appropriate
- Leads and attends project meetings to ensure open lines of communication are maintained between RCM, the project team, and all affected lines of business
- Ensures appropriate records are maintained for internal and external auditors and regulatory examinations
- Coordinates or assists other key RCM efforts as assigned
- Ensure that assigned projects are maintained and properly managed through the Regulatory Change Management Program
List of Typical Responsibilities For a Regulatory Change Resume
1
Responsibilities For Regulatory Change Manager Resume
- Demonstrable experience of producing high quality Management Information in MS Excel and MS PowerPoint
- A passion to build strong working relationships
- Ask Questions - speaks up and asks probing questions
- Ambitious and looking for an opportunity to develop their career, and work in a successful and well established Regulatory Change Programme
- Previous exposure to Front Office banking environment
2
Responsibilities For VP, Regulatory Change Management Resume
- Provide legal analysis and summaries of relevant rulemaking in a timely manner
- Responsible for conducting the daily review of the Federal Official Gazette to identify potential applicable regulations to Citibanamex’s operations
- Excellence - Strive for both proactive and reactive excellence
- Creativity - looks for solutions to issues and problems; and o Holds oneself accountable and is able to step up to challenges
- Professional Insurance Qualification desired but not essential
- Demonstrable knowledge of General Insurance industry and the regulations that support it
- Detail orientated, intelligent and able to work in a multi-faceted environment and juggle complex dependencies
3
Responsibilities For Regulatory Change Mgmt Compl Senior Analyst Resume
- Facilitate cross functional teams to include Compliance, Legal, Businesses, etc. in the detailed impact analysis, comment letters and action plans
- Coordinate and facilitate review session on proposed rulemaking working with Compliance, Government Affairs, Legal, and Businesses to ensure comprehensive look forward impact as well as identifying, tracking, and reporting on agreed upon actions (i.e., responses during commentary period, business impact assessments, etc.)
- Assist with the tracking, communications, and MIS reporting on Regulatory Change implementation status to cross divisional and Enterprise Risk Governance Committees and the Board
- The ability to confidently engage with your colleagues and agility to change
- A keen interest in financial markets and treasury related matters
- Identify and resolve relational or project-specific issues with management oversight
- Manage business impact and newly defined regulations
4
Responsibilities For Regulatory Change Analyst Resume
- Analysis, documentation and management of review of requirements for change to meet the regulations
- Assess and documents the potential impacts of regulatory changes to the Business Lines and other parts of the organization
- Identify, mitigate, and escalate risks as appropriate
- Lead and attend project meetings to ensure open lines of communication are maintained between RCM, the Project Team, and all affected departments
- Ensure system records and project deliverables are maintained in accordance to established conventions and appropriate for auditors and regulatory examinations
5
Responsibilities For Regulatory Change Programme Manager Resume
- Coordinate or assists in the delivery of other key RCM initiatives as assigned
- Maintain leading-edge personal and professional development by regular and focused activity, which covers the complete development spectrum (i.e. conferences, courses, personal coaching etc)
- Keep up to date personally with latest thinking in chosen subject/discipline by addressing and attending conferences, producing research material for leading-edge journals, etc
- Understanding of financial regulatory environment
- Personal and professional development of self
- Act as a role model in terms of both delivery and behaviour for all staff in RRC Change
- Assist in adherence to/ implementation of Compliance Programme Management tools to be leveraged by divisional compliance Examples include: o Requirements and design documentation standards o Client Engagement requirement definition and documentation standards o Testing approach and documentation standards o Firmwide project management regulatory traceability framework (blueprint)
- Develop a framework to identify upcoming regulatory change across the world impacting on the business activities and strategies of the Bank in the UK, Middle East and Europe and maintain Scotiabank’s regulatory control log (or its equivalent under the new framework) and ScotiaTrakker detailing all current and upcoming legislative and regulatory changes
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