Regulatory Resume Sample
Miles Simonis
3875 O'Connell Terrace,
Phoenix,
AZ
+1 (555) 854 2305
Work Experience
Global Regulatory Lead
08/2017
-
PRESENT
Dallas, TX
- Managing the project and all activities across all impacted functions in the US with coordination of initiative globally
- Managing the interface with the control functions, the business and technology to ensure successful delivery of the Programme
- Implement a cross initiative data remediation and develop a strategic solution; manage consultants
- Act as business representative for the front office teams coordinating across the wider support functions within Private Bank (Technology, Operations, Legal, Risk etc.) to implement business solutions
- Responsible for all Programme reporting regionallyfor wealth management
- Managing the project and all activities across all impacted functions in IPB and supporting global implementation
- Interfacing with the control functions, the business and technology to ensure successful delivery of the Programme
- Supporting all Programme reporting regionally for wealth management
- Project manage and deliver key tactical and strategic workstreams and tasks
Regulatory
04/2011
-
02/2017
Phoenix, AZ
- Continually seeks ways of improving work processes
- Build trusting relationships with internal customers by consistently eliciting requirements that meet and deliver upon their business needs
- Be knowledgeable about HSBC business needs, the businesses of competitors, and emerging trends in the industry landscape
- Proactively interact with delivery partners (Service and Software Delivery) to ensure the needs of the business are met, while at the same time, understanding technical implications
- Liaise between business and technology partners to ensure requirements are translated in a way well understood by technology, and ensure technology solutions are understood by and meet the needs of the business
- Advising staff and management on responses to Regulators
- Preparing the Firm’s statutory regulatory and public compensation disclosures
Junior Regulatory Services & Delivery
07/2006
-
03/2011
Los Angeles, CA
- Support the Programme team acting as business representative for the Investor and ACL teams coordinating across the wider support functions within Private Bank (Technology, Operations, Legal, Risk etc.) to implement business solutions
- Promote consistent and appropriate levels of communication with the firm’s external customers who seek information on the IT Risk and Security Management programs, policies, and standards
- Support the firm’s Sarbanes-Oxley (SOX) testing programs for IT General Controls
- The role is critical to helping manage the compliance and reputation risk of HNAH and enabling the bank to develop a positive relationship with its regulators. Key tasks include
- Assisting business areas in preparing for regulatory activity (exams, meetings, etc), including facilitating preparatory meetings and providing on training to staff
- Deliver high quality, detailed business requirements, process design documentation, cost benefit analysis, and clear choice estimations
- Ensure the use of standard methods / processes to deliver projects that adhere to the Project Delivery Process standards
Education
Lawrence University
2000 - 2005
Bachelor's Degree in Business
Professional Skills
- Detail oriented, analytical skills, ability to manage multiple conflicting priorities, and project management skills, including managing to a deadline
- Excellent Word and PowerPoint skills and highly proficient in Excel. SharePoint skills are an advantage
- Excellent Microsoft Word, Excel and Power Point skills, good internet skills. Require knowledge on how to use different internet search engines
- Communication skills, excellent verbal, written and presentation skills
- Strong MS Office skills (incl. Excel - ideally experience with vlookups, etc.); experience with Agile and SharePoint – an asset
- Problem Solving/Analytical Skills with strong stakeholder interaction and management skills
- Excellent skills in Microsoft Excel, Microsoft Presentation and experience in Microsoft Project - Creating and maintaining project plan
How to write Regulatory Resume
Regulatory role is responsible for interpersonal, business, organizational, analytical, regulatory, excel, computer, negotiation, technical, presentation.
To write great resume for regulatory job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Resume
The section contact information is important in your regulatory 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 Resume
The section work experience is an essential part of your regulatory 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 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 position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory resume experience can include:
- Solid risk analysis skills and judgment, legal and regulatory knowledge, interpersonal skills and transaction execution skills
- Well organized, detail oriented, effective written and oral communication skills, and good grammatical skills
- Experienced team lead with strong influencing skills and able to drive results
- Demonstrate team working and effective time management skills
- Basic project management skills and demonstrated experience successfully working within a cross functional team
- Demonstrate proven skills in investigating complex data issues to extract key themes and discover root causes
Education on a Regulatory Resume
Make sure to make education a priority on your regulatory resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory 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 Resume
When listing skills on your regulatory 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 skills:
- Delivery focused – solid organizational and planning skills, and a proven ability in running and managing projects/ initiatives / reviews
- Strong organizational and follow-up skills and ability to manage multiple competing priorities and deadlines at any given time
- Attention to detail, problem solving skills and negotiation skills needed
- Effective problem solving, grammar, spelling, and proof reading skills
- Good issue spotting, risk assessment, and problem solving skills
- Excellent listening & comprehension skills
List of Typical Experience For a Regulatory Resume
1
Experience For Regulatory Accountant Resume
- Strong written and verbal communication skills and project management skills
- Strong organisational and project management skills. Microsoft Project skills desirable
- Strong attention to detail, and task oriented approach. Excellent organizational and time-management skills
- Demonstrates good technical and/ or business expertise to manage projects effectively, especially in the areas of data warehousing and big data analytics
- Strong analytical and problem solving skills – good knowledge of Treasury functions and products knowledge desirable
- Has good interpersonal skills and is comfortable working in a non-hierarchical, multi-lateral management, team-oriented work environment
- Self-starter with excellent organizational, planning, and follow-up skills
- Demonstrated ability to perform complex accounting and financial analysis and communicate results and recommendations effectively
- Good problem solving skills with a solution oriented mindset
2
Experience For Global Regulatory Lead Resume
- Excellent organizational skills, ability to multitask and with attention to detail; capable of managing multiple projects within assigned timelines
- Good problem solving skills with solution oriented mindset
- Diligent, disciplined, and detail oriented with excellent organization and inter-personal skills
- Strong Business Analysis skills, with a focus on regulatory documentation analysis
- Strong communication skills (verbal and written). Knowledge of Mandarin advantageous
- Excellent IT skills, especially Excel. Some access knowledge would be advantageous
- Strong IT skills (Microsoft applications - Word, Excel, PowerPoint, Access)
3
Experience For Regulatory Administrator Resume
- Have a strong proven experience in a similar role/similar industry
- Good organizational skills and ability to manage a large workload under pressure and to cope with tight deadlines
- Drug development experience including and/or significant strategic experience in CMC regulatory affairs with a strong biologics background
- Excellent organizational, communication, and time management skills needed to manage multiple ongoing projects simultaneously
- Clear communicator and good listening skills
4
Experience For Regulatory Document Specialist Resume
- Strong attention-to-detail, organization and time management skills
- A grounding in, or experience of basic Audit skills
- Strong communication, problem solving and organisation skills
- Exceptional attention to detail and organizational and prioritization skills
- Strong applied computer skills
- Strong organizational skills, coupled with attention to detail
- Strong technical skills, especially advanced Excel
- Comfortable interacting with both managers and peers and have good communication skills
- Solid interpersonal (verbal and written) communication skills at all levels
5
Experience For Regulatory Liaison Resume
- Be a dynamic and highly motivated individual Establish strong relationships and liaise effectively with company sites worldwide
- Good written and oral communication and networking skills
- Establish strong relationships and liaise effectively with company sites worldwide
- Strong organizational skills and a "roll up the sleeves" approach to evaluation and implementation
- Managing multiple competing priorities through effective organization and communication
- Gain exposure to management committees and skills in assisting in preparing packs and chairing meetings
- Knowledge and experience of the investment banking sector, including a strong understanding of risk and / or capital management processes and procedures
- Demonstrated experience developing and delivering reports to senior leadership, such as constructing ad hoc analyses for presentation
6
Experience For Regulatory Submissions Manager Resume
- Experience interfacing with government regulatory agencies. Experience developing and implementing successful global regulatory strategies
- Analytical capability coupled with experience in coaching and developing junior staff a strong advantage
- Project Management - project management and organisational skills including managing projects, change and stakeholders
- Prior experience interacting with key global regulatory governing bodies/agencies
- Prior experience managing ex-US regulatory filings and associated vendors/CROs is required
- Prior experience compiling filings for FDA submissions is highly desireable
7
Experience For Senior Regulatory Accountant Resume
- A good level of understanding and experience of Information Technology (IT) and service management terminology and concepts
- Or more of experience in the pharmaceutical industry/ Regulatory experience with MoH in emerging market for pharmaceutical product development
- Licensed attorney in good standing with 5to 7 years of experience
- Prior experience of working in the Finance team within an investment manager or bank
- Any prior regulatory reporting experience would be advantageous
- Excellent analytical background and skill set to understand complex business processes, including system data flows
- Up to date knowledge of EU regulatory environment; good understanding of the complex set of regulations within which the organization operates
8
Experience For Regulatory Intelligence Manager Resume
- Prior experience working for a life sciences company
- Prior experience working in a regulated environment for biotechnology products
- Prior experience with managing successful delivery of regulatory submissions
- Perform re-tests to support issues have been effectively implemented
- Collaborate efficiently and effectively with other team members and clients to offer innovative and appropriate solutions to regulatory issues
- Strong and effective communicator across various levels, and with both internal and external stakeholders
- Development of management skills
- Effectively leads key meetings with HAs to ensure full discussion of issues and opportunities
9
Experience For Financial & Regulatory Accountant Resume
- Exceptional interpersonal and communication (both spoken and written) skills
- Collaborate effectively with others and work concurrently on multiple tasks from multiple supervisors, on varying topics
- Work effectively in a team environment and communicate with team members and customers at all levels of the organization
- Communicate effectively and efficiently with other functional departments in the business
- Prior Regulatory Affairs, packaging coordination or relevant industry experience
- Demonstrated experience with bio-pharmaceuticals and management capability
- Teamwork: work effectively as global team member and in cross functional teams
10
Experience For Regulatory PMO Analyst Resume
- Effectively facilitates filing team meetings with high quality meeting agenda and minutes
- Demonstrate effective teamwork in ability to working collaboratively within own team and the wider group
- MS Office and advanced computer skills
- Advanced Excel and/or Access skills are required
- Significant prior experience in the Financial Services industry, either as practitioner or in product development
- Strong Regulatory Experience
List of Typical Skills For a Regulatory Resume
1
Skills For Regulatory Accountant Resume
- Excellent communication skills to effectively interact with internal and external stakeholders
- Independent self-starter with excellent organizational skills and ability to effectively handle multiple tasks and manage stressful situations
- Excellent communications skills (both written and verbal), with strong technical and regulatory writing ability
- Interpersonal skills, e.g. ability to communicate effectively and adapt communications as needed
- Proven experience in prioritising and evaluating regulatory change initiatives
- Detailed understanding of asset management products, business and processes.Excellent management skills including
- Possess proven research, writing and editing skills
- Strong analytical abilities, problem solving, and organizational skills
2
Skills For Global Regulatory Lead Resume
- Excellent computer skills in word, excel, Lotus, AS400 or similar manufacturing IS, and web based platforms
- Proven Governance, Assurance & Reporting skills and expertise in change management and regulation
- Strong organizational, follow-through, attention to detail and problem solving skills
- Demonstrate problem solving skills.
- Strong communication skills and confidence interacting with wide range of senior stakeholders
- Research: Strong research skills, familiarity/comfort with multiple data/information sources
3
Skills For Regulatory Administrator Resume
- Excellent client relationship, communication and organizational skills
- Strong analytical and synthesis skills of qualitative and quantitative data
- Good interpersonal and communication skills, both written and oral; ability to understand and communicate with representatives from the range of disciplines
- Strong communication skills - oral and written English and Spanish
- Excellent verbal & written communication skills; able to deliver a clear and concise message
4
Skills For Regulatory Document Specialist Resume
- Strong presentation and teamwork skills
- Strong communications, analytical, organizational, project management, and planning skills; and
- High attention to detail, excellent drafting and English comprehension skills and ability to challenge quality / consistency of documents
- Strong understanding of financial regulatory landscape with experience in U.S initiatives (e.g. CCAR, SCCL, CECL, Internal Model Validation, SR guidance …)
- Strong legal research and analysis skills
- Excellent verbal and written communication skills, with the ability to communicate with key stakeholders
- Strong analytical skills with a “doer’s” mentality
- Advanced Excel skills, with experience of working reliably with large Excel data sets, including manipulation of data using complex Excel formulae (Required)
5
Skills For Regulatory Liaison Resume
- Excellent analytical, administrative, collaboration, reading comprehension and editing skills
- Proven experience in multi-tasking and prioritizing projects
- Excellent professional writing skills
- Strong systems skills, including Microsoft Excel, PowerPoint and other online systems
- Demonstrated experience with broad project management and process management practices with the ability to manage shifting priorities and meet tight deadlines
- Demonstrated problem solving and analytical skills are desired
6
Skills For Regulatory Submissions Manager Resume
- Strong communication skills (verbal, email and face to face) are required
- Work in a matrix team environment with strong interpersonal skills (collaborative, tactful and diplomatic)
- Strong organizational skills, be able to structure, plan work and identify resources needed to complete the task
- Good office productivity tools skills (Word, Excel, PowerPoint, SharePoint)
- Excellent organizational skills and ability to support multiple projects
- Very good writing, verbal and social communication skills
- Good communication skills and the ability to work with a diverse group of people
- Strong interpersonal skills and the ability to collaborate productively in an international and multi-cultural environment
7
Skills For Senior Regulatory Accountant Resume
- Proactive and able to manage multiple priorities effectively
- Strong technical skills in Excel and Sharepoint
- Good analytical problem solving skills with the ability to think critically and make recommendations to improve workflow and service levels
- Strong verbal, communication and interpersonal skills
- Prior experience reviewing Informed Consent Forms, Reviewing drug shipment packages, and eTMF filing highly desireable
- (Basic Skills such as merging/splitting pages, finding text)
8
Skills For Regulatory Intelligence Manager Resume
- Collaborate effectively with business unit personnel to resolve outstanding issues as it relates to cost recovery clause accounting
- Direct pharmaceutical labeling development experience required with demonstrated proficiency in managing change control
- J2EE skills like JDBC, JPA and Messaging
- Min 3years experience working in a large financial institution? Strong attention to detail
- Demonstrates strong working knowledge of FFIEC guidelines
- Experience qualified solicitor with significant practicing experience
- Experience qualified solicitor with practicing experience
- Proven experience and ability to balance the needs of the business whilst managing the risk agenda
- Able to communicate findings effectively and to produce concise and relevant reporting
9
Skills For Financial & Regulatory Accountant Resume
- Experience of working in the investment management industry is a preference, and experience of equity based investment products
- Relevant experience, preferably with some experience on Capitol Hill, lobbying or with regulatory policy
- Effectively ‘troubleshoot’ potential weaknesses in a regulatory control framework and identify practical and commercial solutions
- J2EE skills like Java Servlets and JSPs
- Skillset agility - intellectually curious and motivated to learn new capabilities based on the needs of the group
- Relevant experience or equivalent combination of education and work experience in project or regulatory
- Work effectively either in small teams or independently
10
Skills For Regulatory PMO Analyst Resume
- Written communication skills – ability to express and communicate concisely and clearly
- Process and project management skills - ability to manage broad agenda, track and monitor progress against goals; proactively address potential conflicts
- Prior experience and/or with financial services or employee services processes, in a shared services environment
- Strong attention to detail with a "roll up sleeves" attitude and good work ethic
- Produce high quality, accurate work, under pressure and to tight deadlines and work effectively as part of a team
- Proven financial sector experience, preferably in a risk management or modelling or regulatory coordination role
- Proactive team worker with organisational/project management skills
- Sound skills in standard office software
List of Typical Responsibilities For a Regulatory Resume
1
Responsibilities For Regulatory Accountant Resume
- Good communication skills with experience working across cultures and with remote partners
- Strong computer skills in Word, Excel and Adobe Acrobat Pro, with a working knowledge of electronic publishing/file management systems are an asset
- Utilizes knowledge of word processing software, strong writing and analytical skills to document software capabilities and functionality
- Strong inter-personal and communication skills that facilitate open working relationships with staff at all levels in the business
- Effective planning and organisational skills and time management
2
Responsibilities For Global Regulatory Lead Resume
- Detail oriented, with proven ability to question and identify opportunities within existing processes and business practices by leveraging previous experiences
- (Basic skills such as navigation, data entry, sorting, filtering)
- Attention to detail, analytical and problem solving skills with knowledge of Treasury functions and products
- Technical writing experience (CMC experience required)
- Technical writing experience (CMC experience)
- Assist with the development and implementation of effective Remediation and Regulatory solutions and improve their effectiveness
3
Responsibilities For Regulatory Administrator Resume
- Preferably with 5 years of relevant work experience in either Regulatory Transaction Reporting, or experience on operational processes and controls
- Effectively manage the balance between delegation/empowerment and a hands-on approach
- Supporting all London businesses through effective management of regulatory framework changes and accurate FSA reporting
- Supporting all London businesses through effective management of regulatory framework changes
- Working alongside Group Risk, Group Treasury and Wealth Management teams to produce the consolidated Group ICAAP and ILAAP documents
- Stemming from miscommunication, differences of opinion, misaligned objectives, inexperience, etc
4
Responsibilities For Regulatory Document Specialist Resume
- Liaising with the various internal units, business units and support departments to identify priorities and to identify appropriate remediation plans
- Identifying areas where process improvements can be made to achieve efficiencies and a strong control environment
- Experience in supporting or delivering all aspects of project governance and reporting services
- Experience with documentum and the aptitude to learn various IT systems as they relate to training, document creation, formatting, publishing activities, etc
- Experience of co-ordinating and reporting on regulatory programme KPI’s & Outcomes
- Experience of shaping & planning a portfolio of regulatory change
5
Responsibilities For Regulatory Liaison Resume
- Experience working on managing regulatory interactions and exams
- Ystem testing experience (functional and integration), preferably testing web-based applications
- Ideally some financial products exposure and a solid understanding of how these products are normally represented within banking systems and reported
- Responsible for readiness assessment prior to preparing the Executive Regulatory Quality Meeting (RQM) attended by FCA L1’s and support staff
- Experience working with or leading diverse teams cross-functional teams
- Experience maintaining information databases, using Microsoft ACCESS or a similar database program
- Experience with publishing-related software tools including Documentum, Adobe Acrobat, XML and Microsoft Office
- Experience in a relevant tax reporting function within the consulting or financial services industry
- Strong knowledge of equities and fixed income regulatory rules, regulations, and interpretive guidance, with an emphasis on electronic trading
6
Responsibilities For Regulatory Submissions Manager Resume
- Experience in governing regulatory change portfolios
- Experience of working in a consultancy environment for a big-5 firm in financial services clients or top universal bank
- Experience of developing executive level reports and packs
- Experience of evaluating business cases
- Consolidation, generation & quality assurance of portfolio status reporting & KPIs
- Consolidation, control and reporting of programme finances
- Engage with end-users and record owners to improve, validate and rectify records booked outside of global booking model standards or practices
- Solid familiarity with ISDAs, SFTs, clearing and related transactions and agreements
7
Responsibilities For Senior Regulatory Accountant Resume
- Good understanding of local regulations
- Experienced in using the VRM Risk Vision Tool and processes
- Experience analyzing proposed projects for environmental impacts under NEPA and CEQA
- Experience collaborating with members of various groups and divisions
- Work under deadline pressure / rapidly shifting priorities and manage multiple projects
- Demonstrated proofreading ability
- Excellent grasp of pre and post compliance processes, standards and emerging issues
- BA/BS in Regulatory Policy, Business, English, or related discipline or an equivalent combination of education, training, and experience
- Quick to learn new IT systems and processes and the ability to thrive in a changing environment and to re-prioritise workload to meet business needs
8
Responsibilities For Regulatory Intelligence Manager Resume
- Experience of working in a regulatory submissions or registration management environment
- Demonstrated accounting/finance background
- Demonstrates understanding of regulatory submissions software such as eCTDXpress, DXC Publisher, DXC Writer, DXC Toolbox, and First Doc
- Work under strict deadlines and changing priorities
- Experience with Adobe Acrobat, document scanning, and electronic document management (Documentum, SharePolnt or equivalent) highly desired
9
Responsibilities For Financial & Regulatory Accountant Resume
- Submission writing experience in pharmaceuticals, medical device or diagnostics required
- Experience in the pharmaceutical industry, specifically in Supply Chain, Regulatory or Packaging Design
- Strong problem solving with minimal guidance
- Possess strong understanding of data in financial institutions and the challenges around data quality and standards
- Experience in financial services industry with an understanding of risk and control infrastructure and the UK regulatory landscape desirable
- Experience in dealing with internal or external auditors
10
Responsibilities For Regulatory PMO Analyst Resume
- Extensive experience working on regulatory matters
- Experience in stakeholder management (Regulators/Industry Bodies)
- Significant and relevant experience with a law firm or corporation in the relevant areas of expertise
- Maintain effective relationships with representatives from across the bank’s business and support areas in support of ORM’s regional agenda
- Working with both the UK and Swiss Wealth Management teams in order to produce periodic liquidity returns on a consolidated basis
- Good understanding of cosmetic formulation and raw materials for cosmetic products
- Prepare goodwill and intangible impairment analysis
- Work experience in Technology; Technology Risk and Controls in a large enterprise level environment
- Regulatory compliance experience and technical knowledge of financial products or regulated activities
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