Regulatory Advisor Resume Sample
Eula Schmidt
8280 Runolfsson Mall,
Los Angeles,
CA
+1 (555) 104 5254
Work Experience
Senior Regulatory Advisor
10/2017
-
PRESENT
Detroit, MI
- Expert knowledge of North and South America chemical regulations
- Interpret vague and ambiguous government regulations/ programs (i.e., TSCA, OSHA,...) and successfully apply them
- Maintain an in-depth knowledge of SI Group products, their hazard characteristics and potential
- Understand the breadth of the global regulatory environment and the need for cost-effective compliance solutions
- Coordinating the regulatory process for both routine and major projects including the development of regulatory strategies, plans and timelines in collaboration with Law and Project Directors/Managers
- Leading cross-functional regulatory sub-teams involved in preparing regulatory applications and other filings including providing advice on requirements and effective methods of meeting the requirements to enhance the probability of approval by the regulator and/or minimization of conditions attached to the approval
- Drafting sections of the regulatory application and reviewing sections to ensure consistency, clarity and completeness of all sections of the application and compliance with regulatory requirements
- Coordinating cross-functional teams involved in responding to information requests and preparing conditions filings
- Conducting pre-application meetings with the applicable State public utilities commission regarding specific projects
Regulatory Control Advisor
01/2014
-
05/2017
Phoenix, AZ
- Coordinating regulatory compliance activities including creation of compliance tracking records
- Developing and maintaining a rapport with State public utilities commission staff with respect to assigned projects and long term relationship management
- Providing oversight, guidance, and support for city and county permitting for LP and MP
- Recommending improvements to regulatory processes as assigned
- Stays current on regulatory initiatives, emerging trends and best practices related to regulation of liquids pipelines in the U.S
- Providing support to Law in preparing for formal hearings
- Provide project support for Regulatory Policy involvement in Basel IV initiatives
- Co-ordinate communication strategy to ensure stakeholders aware of developments, help develop Firm position on key items, and ensure appropriate engagement with industry bodies
- Prepare approach for review of new European legislation and co-ordinate this initiative
Surveillance Risk Officer Regulatory Control Advisor
04/2008
-
10/2013
Philadelphia, PA
- Undertake technical review of certain aspects of proposed legislation to determine impact
- Proficiency in Microsoft Office applications, SharePoint, GFMS,
- Responsible for the management and day to day maintenance of the HR Director’s Control schedule (London Branch & Mil), ensuring regular Quality Reviews are carried out with delegated COE stakeholders
- Support the HR Governance team’s deliverables as agreed on an annual basis in relation to Audits, SOX, Business Continuity and other projects based on the year end planning calendar
- Working with RAM (Regional Area Management) review, update, communicate and maintain the HR processes linked to the SM R/CERTs ‘End to End’ process
- Develops and implements regulatory strategies and tactics to enhance Roche’s ability to be nimble in a changing regulatory environment
- Acting as a ‘leader’ and mentor, leading training sessions, representing EMEA in global projects and representing the Surveillance team to Senior Stakeholders in the Business
- Partner with other companies and/or stakeholders to advocate for favorable policy outcomes that align with Renewables BU’s present and future commercial interests
- To join the Communications Initiative team as part of the EMEA Trade Surveillance function
Education
Vincennes University - Jasper Campus
2004 - 2008
Bachelor's Degree in Science
Professional Skills
- Problem-solving skills informed by deep and varied experience in forging solutions
- Strong planning, analytical, problem solving and organizational skills
- Excellent communication and interpersonal skills, including the ability to provide pragmatic and ‘user friendly’ advice and support
- Excellent presentation, writing and analytical skills; able to communicate regulations in a clear, timely and effective manner to employees at all levels
- Self-motivated with Strong technical, organisational and administrative skills
- Proven leadership, organisation and facilitation skills
- Strong written and verbal communication, facilitation and presentation skills
How to write Regulatory Advisor Resume
Regulatory Advisor role is responsible for government, facilitation, software, travel, research, design, reporting, trading, security, procurement.
To write great resume for regulatory advisor job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Advisor Resume
The section contact information is important in your regulatory advisor 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 Advisor Resume
The section work experience is an essential part of your regulatory advisor 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 advisor 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 advisor position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Advisor resume experience can include:
- Developing and maintaining a broad knowledge of the Bank’s business and regulatory framework in which it operates
- Engaging with line of business compliance to ensure effective scoping of reviews and prompt communication of concerns or escalations
- Coordinating and consolidating regulatory advise from various regions
- Good understanding of the key risks and regulatory framework including benchmarks setting controls
- Good understanding of the key risks and regulatory framework as they impact Global Transaction Banking
- Experience communicating information to individuals, stakeholders and groups both verbally and in writing
Education on a Regulatory Advisor Resume
Make sure to make education a priority on your regulatory advisor resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory advisor 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 Advisor Resume
When listing skills on your regulatory advisor 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 advisor skills:
- Oversight and responsibility for maintaining compliance filing management system (CFMS); includes monitoring for all required filings & licenses, managing notification system for all regulatory reporting requirements and assisting with filing applications for permits/licenses required for BP Energy Company’s business
- Strong organization skills. Ability to complete multiple, diverse tasks of differing priorities
- Demonstrated excellent communications and inter-personal skills
- Drive and energy, including to learn new skills and adapt to change
- Significant experience in state and/or federal regulatory and rate setting process, or equivalent experience
- Organizational and project delivery skills
List of Typical Experience For a Regulatory Advisor Resume
1
Experience For Regulatory Control Advisor Resume
- Exhibit a strong understanding of the firm’s management structure and ability to be a culture carrier within the department and without
- Experience of working within a multinational organisation(s)
- Managing fieldwork including conducting testing to ensure the execution of reviews is in line with the annual test plan and key operating procedures
- Publishing reports documenting the testing performed and any issues identified
- Supporting the annual CCT planning processes to ensure that all necessary testing coverage is identified and documented
2
Experience For Senior Regulatory Advisor Resume
- Agreeing remediation actions with the business and tracking these actions to completion
- Reporting on progress against execution of the Testing Plan and completion of remediation actions
- Advising the business regarding NRSRO regulations
- Advising on regulatory filings and regulatory requests
- Supporting entire S&P Global Ratings Legal & Regulatory Affairs function
- Provide regulatory support across the business to ensure the compliance of product communications including advertising, online and point of sale items
- Access to services including RAIO, MNP, FNP etc
3
Experience For C-senior Regulatory Monitoring Advisor Resume
- Technical understanding of all water, air and waste operations, wildlife and environmental management and regulatory requirements
- Work with various teams and business units to resolve operation and production-related compliance issues, including inactive well compliance
- Assesses regulatory environment’s impacts on business
- Support jurisdictional FATCA/ CRS Responsible Officers to efficiently fulfill their AEOI related responsibilities and obligations
- Ensuring the Risk Appetite Statement (RAS) Framework is appropriately structured to meet regulatory expectations, the requirements of the Non-Financial Risk Management Framework and management expectations, in articulating Deutsche Bank’s financial crime risk appetite and subsequently measuring performance against appetite and tolerance
- Contributing RAS specific input to the external communications strategy for the RC&A function to ensure clear and consistent messaging to Auditors and Regulators around the RC&A function’s framework, programs and plans
- Developing and delivering Deutsche Bank’s advocacy strategy on prudential issues to relevant official sector bodies, particularly to EU and international institutions but also to other jurisdiction bodies as required
- Reviewing marketing materials and disclaimers to ensure consistency with legal and regulatory requirements
4
Experience For Senior Specialist Advisor Regulatory Oversight Resume
- Maintaining and managing various databases
- Performing quality assurance reviews for other team members
- Familiarity with the Basel Committee on Banking Supervision’s framework on capital, liquidity and leverage
- Stay current on relevant regulations and regulatory guidance’s, for particular products be a subject matter expert, e.g., futures and options
- Testing the design adequacy and operating effectiveness of key business Level 1 (L1) controls that mitigate compliance-owned risk types, using a risk-based approach
- Knowledge of relevant Financial Conduct Authority (FCA) rules and regulatory change including compliance processes / procedures
5
Experience For Surveillance Risk Officer Regulatory Control Advisor Resume
- Manage confidential information with discretion and tact
- Ensuring effective issue management, including follow-up with the business on the progress of mitigation plans, review and validation of issues proposed for closure and timely identification and escalation of concerns/slippage
- Consulting on and drafting of policies and procedures
- Termination rates (including working with LRIC models)
- Wholesale price setting including international
- Knowledge of relevant FCA rules and regulatory change including compliance processes / procedures
6
Experience For Product Stewardship & Regulatory Affairs Advisor Resume
- Excellent stakeholder management skills, including supporting the wider team, liaising with Senior Management and securing appropriate outcomes from challenging issues
- Monitoring updates to regulations, globally, by proactively conducting research and providing recommendations to legal
- Tariff and pricing approvals
- Compliance with mobile and fixed licenses
- Provide guidance on EU legislative requirements to Britvic stakeholders, ensuring legal compliance of current products and shaping the development of new products
- Assist with the development of policies and guidelines and responses to new and changing legislation
- Represent Britvic's interests in the drafting of new legislation through industry associations as required
- Assess and advise on the impact of new EU legislation to ensure continuing compliance as a business
7
Experience For Advisor Regulatory Services Resume
- Interact with regulatory authorities such as Trading Standards and Environmental Health
- An understanding of the composition of soft drinks and the technical purpose of the ingredients used in them would be beneficial, but not essential
- Flexibility to travel as and when required to support implementation and monitoring of regulatory best practice
- Communication regarding status of Customer Service-related proceedings to SCE executives and internal and external stakeholders
- Ensure product composition, labels and promotions for all relevant markets comply with the relevant regulations and company policy
8
Experience For Regulatory Monitoring Advisor Resume
- Interpret legislation in a clear and concise manner
- Explain clearly to the business the application of legislation for commercial advantage in a compliant manner
- The ability to explain complex technical and legislative issues in a comprehensive manner so that they can be readily understood by non-technical/legal audiences
- Excellent knowledge and understanding of EU food and other relevant related legislation
- Identify, develop, and resolve SCE operational and regulatory policies and strategies to be reflected in the various IQP and Customer Service-related proceedings
- Plan, prioritize, schedule, and other project management-related activities
9
Experience For Senior Advisor, Power Regulatory Resume
- Provides input and recommendations on issues in other regulatory proceedings with impacts on, or affected by, IQP
- Lead development and management of relationship with regulators
- Advise the Superintendent, Environment related to all site environmental regulatory activities
- Participate in territorial/federal inspections, Water Board/Environmental and Advisory Board site visits, and community-based monitoring by our Aboriginal partners
- Proactive management and preparation of all regulatory submissions to ensure timeliness, completeness and adherence to regulatory expectations
- Work directly with industry associations and our JV partner on common regulatory commitments and challenges
- Comprehensive technical review of submissions for compliance with regulatory requirements
10
Experience For Regulatory Compliance Advisor, Air Resume
- Comprehensive editorial review of submissions to ensure clarity and focus
- Upward and peer management of regulatory deliverables; and
- Manage and monitor conformance to internal and voluntary Environmental programs and standards
- Manage and guide cross-functional SCE teams in developing GRC testimony, responding to data requests, and preparing witnesses. Responsible for reviewing, improving, and finalizing GRC work products and recommending changes based on findings
- Research and present pertinent information to the GRC team, witnesses, legal counsel and senior leadership on complex GRC matters; identify issues, and manage resolution; build business case for changes in funding and make strategic decisions to alter plans as needed
- Interface with the CPUC and intervenors to represent and/or clarify SCE positions; strategic collaboration with external and internal stakeholders throughout the GRC process as a trusted point of contact between SCE and the regulators
- Develop and implement associated regulatory strategies, policies, and/or internal controls within SCE; monitor regulatory and legislative activities, proceedings, and developments; analyze and interpret potential impact to the company and specifically to the GRC
List of Typical Skills For a Regulatory Advisor Resume
1
Skills For Regulatory Control Advisor Resume
- Able to work effectively within a cross-functional team
- Prioritization – Focuses on critical issues and offers prioritizations
- Navigating Ambiguity – Demonstrates flexibility and resilience in response to setbacks and adversity
- Experience analyzing and interpreting regulations, legislation or policies
- Experience writing and interacting with key stakeholders across an organization and with regulators
- Experience establishing working relationships with customers, technical staff, managers, and peers
- Flexible and able to adapt to changing business demands, opportunities, and priorities
2
Skills For Senior Regulatory Advisor Resume
- Able to work independently while being a strong team player
- Seven years of experience working in project management
- Experience and passion for working low income energy or energy efficiency programs, case management
- Seven or more years of regulatory experience with success in interacting with regulatory authorities
- Experience using Project Management principles and/or software tools
3
Skills For C-senior Regulatory Monitoring Advisor Resume
- Strategic decision making experience
- Skilled in performing studies on cost of service, cost allocation, rate design, fuel recovery, and load management
- Experience in oil/gas regulatory permitting required
- Establish and maintain effective working relationships with staff, supervisors, other operational groups, and State and Federal officials
- Current or previous experience of being an active member of food industry trade associations/bodies
- Previous experience with AER/OGC/ECON facility and pipeline regulations and applications
4
Skills For Senior Specialist Advisor Regulatory Oversight Resume
- Experience with NEB projects is considered an asset
- Proactive, question minded, ability to prioritise
- Experience in the regulatory field
- Compliance experience within financial sector
- BS in a science or related field or equivalent work experience
- Regulatory experience
5
Skills For Surveillance Risk Officer Regulatory Control Advisor Resume
- Typically possesses three or more years of experience in regulatory affairs, operational programs, contact management, or function
- Ten years of functional experience in financial, operational, legal, or regulatory environment
- Experience presenting, speaking and writing correspondence to a broad group of stakeholders
- An enthusiastic team player; able to build strong, open dialogue-based relationships with relevant Stakeholders
- Previous regulatory experience – regulator or regulated perspective
- Northwest Territories regulatory experience would be an asset
- Experience in financial services or similar discipline
- Extensive experience in compliance risk, audit or similar function review function
- Becoming a subject matter expert on key packaging formats and packaging solutions
6
Skills For Product Stewardship & Regulatory Affairs Advisor Resume
- Maximising potential in self and others through personal development
- Working collaboratively to achieve goals
- Mentoring junior staff and provide guidance to client groups as required
- Understanding of AML regulatory expectations in Germany, UK and USA
- Tracking and management of constantly evolving regulatory requirements, policies, guidelines, legislation and directives
- Provision of information regarding regulatory requirements for packaging in Europe including green dot, recycling symbols etc
7
Skills For Advisor Regulatory Services Resume
- Intellectual curiosity about the regulatory/policies affecting North America Gas and Power’s marketing & trading businesses
- Participate in proposals, scheduling, budgeting and other project management activities, as required
- Coordinate product testing and risk assessments to support new and existing products globally
- Provision of information regarding relevant legislation, standards and codes of practice relation to packaging
- Liaise with key internal Stakeholders such as R&D, Marketing, Supply Chain, Procurement to ensure packaging development and compliance for new innovations
8
Skills For Regulatory Monitoring Advisor Resume
- Liaise with external partners and suppliers regarding packaging compliance and development
- Management of regulatory aspects relating to packaging materials to ensure they are fit for purpose
- The flexibility to react to a changing environment and promote forward thinking
- Business Savvy – Assist Department by identifying and integrating organizational strategies to achieve business objectives
- Provide guidance to teams on local, state and federal permitting and operating requirements to ensure compliance
9
Skills For Senior Advisor, Power Regulatory Resume
- Talented in technical writing and editing
- Communicates with all levels of the organizations, including management, regarding relevant regulations and legislation
- Conceptual review of the engineering design for regulatory adherence
- Familiarity with reading maps, survey plans and drawings (i.e. PFD, Plot Plan, P&ID)
- Driven and willing to learn
- Communicate impact of current and emerging regulatory requirements and changes to the SI Group organization and modify strategies accordingly
- Ensure legislative and company policy compliance for packaging in GB, Ireland and other key EU markets
10
Skills For Regulatory Compliance Advisor, Air Resume
- Assess packaging to ensure it is fit for purpose and complies with appropriate EU legislation
- Knowledge and understanding of HR, or Business Processes
- Extensive knowledge of the HSBC Group structure, its business and personnel, and a deep understanding of HSBC’s corporate culture
- Familiar with Banking Act, Financial Advisors Act and Securities & Futures Act
- Familiar with banking products and services
- Creative Thinking – Generate fresh perspectives and ideas that create value to the global organization
- Sense of Urgency – Respond to business demands with appropriate urgency and willing to take appropriate risk with limited information
- Work with engineers and operations to compile surface commingling permit applications for the RRC, NMOCD, GLO and BLM
List of Typical Responsibilities For a Regulatory Advisor Resume
1
Responsibilities For Regulatory Control Advisor Resume
- Experience in US offshore regulatory developments, especially leasing, drilling, and environmental protection regulation
- Demonstrable experience delivering change in global cross-functional initiatives (Business, Operations, Technology, etc.)
- Support operational planning and risk analysis strategy and processes in SCE as it relates to GRC
- Participate in the creation of testing plans for areas of identified potential AFC risk
- Performs regulatory case management on proceedings of importance to the company
2
Responsibilities For Senior Regulatory Advisor Resume
- Prepares regulatory documents such as Applications, Advice Letters, Direct and Rebuttal Testimony, and Comments, ensuring the company's position is reflected accurately
- Leads cross-functional teams to address strategic issues and manages resolution of complex regulatory issues
- Interacts with internal and external parties to advance SCE’s positions
- Maintains thorough knowledge of regulations, rules, and procedures
- Manages cross-functional teams to complete data requests, and meet deadlines for regulatory filings
3
Responsibilities For C-senior Regulatory Monitoring Advisor Resume
- Identifies tasks required to complete regulatory requirements. Interprets regulatory requirements and provides guidance to the business to ensure compliance
- Manages witness preparation process. Identifies issues that require attention and raises them to management
- Coordinates regulatory policy development with other regulatory policy groups, organizational unit management teams and SMEs to achieve consistency on positions across SCE regulatory proceedings
- Provides communication regarding status of proceedings to SCE executives and other internal stakeholders
- Supports other cross-functional proceedings as needed
4
Responsibilities For Senior Specialist Advisor Regulatory Oversight Resume
- Undertake reviews and assessments of the business records in line with the testing plan. Liaise directly with AML Advisory Compliance and business staff in the completion of this work
- Prepare reports for submission to the Risk & Control and Global AFC Testing teams in hub locations detailing the work performed, findings, conclusions and recommendations
- 5 consecutive years’ work experience in food industry or food trade association
- Provide advice and state of readiness (for regulatory audits) to the business on the design and implementation of appropriate 1st LOD KYC controls
- Maintain the current KYC QA approach and methodology consistent and up-to-date
- Assist on projects as required
- Good understanding and application of relevant global AML & KYC regulation and legislation (including but not limited to; the German AML Act, the German Banking Act, 3rd AML EU Directive, 4th AML EU Directive and other supporting regulations)
- Computer literate (Excel - Word , Visio and project management)
- Eye for details and risks oriented
5
Responsibilities For Surveillance Risk Officer Regulatory Control Advisor Resume
- Empathy, ability to understand other people’s needs
- Extensive knowledge of financial services regulation as relevant to HSBC’s businesses and material geographies of operation
- Proactive, independent and resourceful
- Seven years of experience working on projects, preferably working at the project management level or similar cross-functional coordination, and/or strategic planning, and/or energy markets, and/or regulatory policy
- Knowledge of liquids pipeline operations and facilities considered an asset
6
Responsibilities For Product Stewardship & Regulatory Affairs Advisor Resume
- General knowledge of General Rate Case process
- Seven years of experience in project management or similar cross-functional coordination, and/or strategic planning, and/or energy markets, and/or regulatory policy
- Teamwork – Collaborate with the group and across organizational boundaries
- Communication - Able to communicate complex issues to a culturally diverse audience, able to resolve conflicts and persuade others
- Well Networked- Maintain internal and external industry contacts to benefit SI Group
- Commitment to SI Group Global Results – Recognizes and offers recommendations that optimize global impact
7
Responsibilities For Advisor Regulatory Services Resume
- Positive Attitude – Performs job functions and assigned tasks in a manner that embodies the positive aspects of SI Group
- Thorough knowledge of current State, Federal, and local laws, rules and regulations related to oil and gas operations
- Maintain a high level of accuracy, attention to detail, and consistently meet deadlines is essential
- Able to take a pro-active approach to tasks and responsibilities
- Computer literate and conversant with Excel, Word, PowerPoint and Access
- Superior verbal and written communication skills for engaging with audiences ranging from internal employees to industry colleagues, members of the public, and government
8
Responsibilities For Regulatory Monitoring Advisor Resume
- Strong familiarity with oceanography or marine ecology
- Familiarity with ecosystem based management, valuation of ecosystem services, and management of resources
- Self-starter, ability to work well in teams and under pressure
- Support SI Group’s product stewardship and product sustainability initiatives
- Implement the product sustainability and stewardship strategy
9
Responsibilities For Senior Advisor, Power Regulatory Resume
- Subject matter expert on toxicology and chemical risk assessments
- Interpret vague and ambiguous government regulations/ programs and successfully apply them
- Support for new launches, current products and advice on new developments in the legislation and their impact to the business
- Provide regulatory guidance to the project teams
- Coordinate environmental, dispersion model, and noise impact assessment studies, as required
10
Responsibilities For Regulatory Compliance Advisor, Air Resume
- Review and provide input to design basis memorandum (DBM) document
- Prepare the regulatory permit applications
- Develop detailed scope of work, design basis document and project execution plan
- Provide input to the cost estimate and project schedule
- Business development opportunities as required
- Knowledge of ABSA/TSASK application requirements is considered an asset
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