Regulatory Risk Resume Sample
Maurine Rice
804 Randall Cliffs,
San Francisco,
CA
+1 (555) 475 5991
Work Experience
Regulatory Risk Senior Analyst
06/2016
-
PRESENT
San Francisco, CA
- Detailed business analysis/requirements definition across our data and core capabilities streams of delivery
- Direct, daily interaction with business & operations reporting SME’s to manage the information flow and delivery of key project milestones
- Work with Controls and Operating Model teams to assist in the definition of the Control framework and Operating Models for all deliveries, ensuring alignment to our over-arching strategic principles
- Lead working group meetings, setting the agenda, preparing meeting materials, documenting minutes and ensuring clear ownership of action items
- Take ownership of issues in order to propose and drive organisational solutions to meet deadlines
- Holistic understanding of the various Citi risk processes and functions
- Determine the current state of data, business processes and controls in target markets; drive data quality improvements and process efficiencies through standardization and automation
- Support migration to local MIS processes to global solutions
- Build partnerships to support continuous improvement of both regional and local processes, and global solutions alike
Regulatory Risk Consultant
10/2012
-
02/2016
San Francisco, CA
- Establish technology project management structures
- Manage development and production execution projects end to end
- Coordinate across the Modeling team, Technology teams and downstream consumers for project delivery
- Work closely with functional lines of business both in GRA and outside
- Ensure a clear understanding of the new regulations across GRA; Understand and document the changes needed to meet the new FRTB requirements
- Partner with various line of business executives to structure the projects and establish a consistent interpretation of the requirements & delivery of the FRTB Program
- Manage projects specific to the FRTB efforts that have significant impact on how the company does business, provides a product or service, or executes a function
- Responsible for executing significant aspects of the regulatory change management program with a drive to achieve enhanced implementation and overall sustainability of the program
- Responsible for assisting in the management and oversight of the regulatory change management process, including managing global implementation of the Regulatory Change Management Standard
Regulatory Risk Management
04/2006
-
07/2012
Houston, TX
- Provides expertise in the creation of regulatory change management reporting for senior management and board-level committees
- Performs quality assurance of regulatory change management data, including review of execution of the Manager's Control Assessment (MCA)
- Assists in development of regulatory change management technology solutions and enhancements that facilitate integration of the regulatory change management process with other foundational Compliance Program elements
- Leads regulatory change coordinator meetings with regional compliance, line of business compliance and independent control functions and provide training on the regulatory change process and tools as appropriate
- Acts as a thought leader in the ongoing enhancements to the global regulatory change management program, including enhancements to the Regulatory Change Management Standard, training guide and documentation related to program exceptions
- Compute Local Reserves for Consumer and Wholesale loans
- Compute Risk Weighted Assets inputs for Local Regulatory Capital
- Report to CNBV and Banxico Risk Measurement
Education
University of Connecticut School of Business
2001 - 2006
Bachelor's Degree in Finance
Professional Skills
- Strong project management skills, proven organization, coordination and action tracking skills
- Strong analytical skills alongside the ability to and interest in, apply these skills to identify and interpret patterns within Data sets
- Proven managerial skills including setting objectives, prioritisation of tasks, motivation of employees
- Strong organization skills to manage multiple competing priorities
- Demonstrated outstanding planning, project management, networking and influencing skills
- Excellent written and verbal communication skills, including an ability to provide clear and comprehensive responses, and “make complexity simple”
- High attention to detail, and excellent drafting and English comprehension skills
How to write Regulatory Risk Resume
Regulatory Risk role is responsible for reporting, trading, microsoft, leadership, database, retail, finance, credit, training, integration.
To write great resume for regulatory risk job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Risk Resume
The section contact information is important in your regulatory risk 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 Risk Resume
The section work experience is an essential part of your regulatory risk 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 risk 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 risk position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Risk resume experience can include:
- Excellent computer skills including practical use of Microsoft Word and Excel
- Excellent analytical skills, with the ability to solve problems independently
- Demonstrated ability to interact effectively with clients and create value for the stake holders
- Strong analytical, inter-personal and organisational skills
- Develop summary risk reporting and analysis to be used by sales and trading supervisors to effectively manage risk in their business
- Experience of supporting the development of an environment where people management and development is the number one priority
Education on a Regulatory Risk Resume
Make sure to make education a priority on your regulatory risk resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory risk 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 Risk Resume
When listing skills on your regulatory risk 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 risk skills:
- Excellent organisation and coordination skills and ability to consolidate complex material whilst working to tight deadlines
- Excellent teamwork, communication, prioritisation and time management skills
- Excellent presentation and communication and writing skills
- Able to operate effectively in a dynamic team environment, and promote an inclusive, transparent and responsive atmosphere
- Excellent communications and inter-personal skills, and passion to deliver quality work
- Excellent analytical skills also with complex formulas
List of Typical Experience For a Regulatory Risk Resume
1
Experience For Regulatory Risk Senior Analyst Resume
- Further development of the team’s program management leadership skills and operational risk subject matter expertise
- Project management experience as well as KPI, KRI experience
- Superior MS Office skills (Excel, Word and PowerPoint)
- Adapting to change and maintaining a flexible approach during project work, when priorities and deadlines are constantly changing
- Programming experience in C++, Java, Python or similar languages required
- Adapting to change and maintaining a flexible approach during project work when priorities and deadlines are constantly changing
- Risk and financial analytics experience in one or two of the following areas
2
Experience For Regulatory Risk Senior Manager Resume
- Intensive financial / risk / business analysis experience at a financial institution or other highly regulated environment
- Develop a strong network with Risk Management leaders, FRI leaders and Technology leaders across the globe
- Business experience in audit, control, compliance or regulatory management in the banking or credit card industry
- The ability to set priorities and execute
- Good PC knowledge (desktop applications / Citi applications / Maintenance of data bases of spreadsheets with macros)
- Identifying regulatory risks and opportunities, researching and analysing impacts, and documenting and synthesising findings
- Maintaining project documentation including project plans, task lists, deliverables, and management and regulator presentations
- Implement and enhance an ongoing compliance monitoring process for the Bank’s lending and non-lending products
- Ensure execution of ongoing routines such as record keeping and required business communications
3
Experience For Associate / Senior Associate, Regulatory Risk Resume
- Well-established understanding of business dynamics and operations by understanding consumer compliance issue
- Assist in review of all EMEA Support Services month end close and accounting activities
- Manage a small team of people within the Stress Testing team
- Technical expertise on transaction banking applications and/or products
- A commitment to the role and delivering a high quality service
- Setup and maintain VaR Backtesting for South Africa FXLM desk
- Support EIM’s RCSA execution, documentation and self-testing
4
Experience For Regulatory Risk Consultant Resume
- Opportunity to develop and apply in practice a ‘Data Science’ approach to statistical analysis of data as part of an evolving surveillance program
- Significant technical exposure to various risk metrics, including methodology creation and implementation
- Ensure proper reporting tools and regulatory documentation
- Design and develop a first line of defense electronic trading operational risk framework and architecture focused on analytics and performance metrics
- End-to-end project management of data quality projects monitoring and follow-up
- Communication to impacted parties and resolution of underlying issues via project management
- Deepen understanding of day to day Risk Management
- Identification of material changes in profiles, communication to impacted parties and resolution of underlying issues
- Internal Capital Adequacy Assessment Process (ICAAP)
5
Experience For Senior VP, Regulatory Risk Senior Manager Resume
- Support Corporate Governance (Board´s Risk Committee, Board of Directors)
- Interaction with CNBV and Banxico
- Represent Citibanamex in ABM
- Perform Month end due diligence review for the EMEA Tech & Data Division and oversee activities such as Accruals, month end adjustments and Net Revenues
- Liaise with The Business Partner Support groups to convey month end findings and ensure a seamless flow of information
- Ensure Citi’s credit and market risk systems initiatives meet Business, Regulator, Audit and Credit Policy requirements and resolve flagged issues
- Establishment and management of a regular self-assessment process against all US CRO related regulatory requirements including identification of relevant rules, project management of assessment process, rules interpretation, critical review of responses, & management of Quality Assurance process
6
Experience For Regulatory Risk Group Manager Resume
- Working with risk specialists in other departments to ensure that CRO’s processes and responses to information requests meet the US regulators’ expectations
- Superior Microsoft Excel, Access and Visual Basics for Applications (VBA) skills
- A demonstrable ability to interact effectively with Clients and create value for Stakeholders
- A strong background in an audit function or other relevant risk management role – Operational Risk or Internal Audit experience ideally
- Experience in a risk management role from a technology perspective (beneficial)
7
Experience For Compliance Regulatory Risk & Controls Analyst Resume
- Management of framework for US CRO Policy updates
- Professional Diploma in Compliance - Association of Compliance Officers in Ireland (ACOI), or other is desirable
- Identify sales opportunities and progress in conjunction with other team members
- An ability to recognise high risk situations and deal with them in a prompt manner
- The ability to evaluate and quantify risks and make Quality recommendations to mitigate risk on a long term basis
8
Experience For Solutions Specialist, Regulatory & Risk Resume
- Evaluate and quantify risks. Quality of recommendations to mitigate risk on long term basis
- Investigate factor sensitivity exposures and matrix that drive changes in VaR, SVaR and IRC, and resolve data quality issues
- Reconcile factor sensitivity exposures between front office systems and risk feeds
- Influencing and effecting positive change across the 1825 advisory business in response to regulatory changes, where there is limited direct authority over those areas
- Maintaining and developing comprehensive technical knowledge and a solid understanding of business operations and objectives across the company, when these are constantly evolving in response to changes in the external environment
- Building close working relationships within 1825 and the wider Standard Life business, gaining credibility and an appropriate level of influence across the business, when different areas require different types of discussions and have different priorities
9
Experience For Regulatory Risk Senior Consultant Resume
- Maintaining a commercial balance between the adequacy of the internal regulatory framework and the need to run an efficient and effective fast developing business, when regulatory change can be high
- Expressing complicated technical information in plain English terms, to be understood by both internal and external contacts when there are different levels of understanding
- Strong verbal and written communication skills including the ability to present to the most senior levels of management
- Significant experience in regulatory program management in the financial services industry
- Delivering communication, education and awareness events and material
- Also includes overlapping impacts the US regulators such as Dodd-Frank, CFTC and SEC affecting trade and transaction reporting
- An understanding of Trading Lifecycle, Banking Regulatory Environment
- Advice provided on regulatory operational and conduct risks arising from business change
- Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations
10
Experience For Regulatory Risk & Control Specialist Resume
- Assist with the development of the framework for Risk Aggregation
- Assist in framework enhancements and development
- Develop enhancements for risk identification across all business lines
- Create guidance and templates to assist with identification processes
- Work with all levels of management in the aggregation processes
- Maintaining and developing comprehensive technical knowledge and a solid understanding of business operations and objectives across the company when these are constantly evolving in response to changes in the external environment
- Building close working relationships, gaining credibility and an appropriate level of influence across the business when different areas require different types of discussions and have different priorities
- Maintaining a commercial balance between the adequacy of the internal regulatory framework and the need to run an efficient and effective fast developing business when regulatory change can be high
List of Typical Skills For a Regulatory Risk Resume
1
Skills For Regulatory Risk Senior Analyst Resume
- Proven organization and coordination skills and ability to challenge quality/consistency of documents
- Communicate clearly and effectively (written and verbal) particularly across cultures and when working remotely
- Work well within a matrix organisation, including utilisation of skills and resources which don’t directly report to role
- Demonstrated experience with risk assessment analysis
- Prior experience includes 5 years+ in Risk Management / Audit / Internal Controls
- Risk and compliance experience or relevant financial services industry experience
- Independently and effectively work across all levels of management and across functions to accomplish the mission
- Understanding (and ideally direct experience) of Solvency II
2
Skills For Regulatory Risk Senior Manager Resume
- Ensure that risk and control assessment reporting process (including reporting to senior management) is well defined and effective
- Experience of working at a regulator or peer firm working on regulatory issues within the APAC region
- Ideally have a strong appreciation of Regulatory Reporting and be comfortable in critiquing it’s design & controls
- Experience developing and/or managing data taxonomies
- Experience designing and/or forming technical requirements for data governance-related technology solutions
- Experience of actively supporting a business strategy, plans and values, while contributing to the achievement of a high performance culture
- An excellent understanding of the controls relating to the complete trade life-cycle
- Compliance experience in the banking industry
3
Skills For Associate / Senior Associate, Regulatory Risk Resume
- Experience covering Risk Management and Technology Architecture and Project Management
- Strong interest in technology and learning new applications/software
- Knowledge of and experience in the regulatory regimes and relevant legislation impacting Standard Life products and services
- Highly motivated, with a proven ability to work on own initiative within a challenging and dynamic work environment
- Experience of coaching direct reports and others in an organisation
- A prior understanding of the main asset classes and / or Regulatory background (beneficial)
- A good knowledge of trade booking practices and systems
- Multi-task and set priorities and execute in a timely manner
4
Skills For Regulatory Risk Consultant Resume
- Navigates organizational complexity and demonstrates organizational savvy
- Professional experience for Consultant’s role
- More than 3 years’ of professional experience for Senior Consultants role
- Strong technical knowledge in regulation and Financial Regulator rules and guidance procedures
- Previous project experience (beneficial)
- Trade support or Risk, Profit and Loss experience
- An ability to manage multiple tasks and prioritise accordingly
5
Skills For Senior VP, Regulatory Risk Senior Manager Resume
- Understanding of all stages of the order lifecycle and corresponding flows through the trading architecture
- Identifying opportunities for improving data quality and reducing ‘noise’ and false positives
- Acting as an subject matter expert in selected areas (including potential leader of Europe Central)
- Providing advice on regulatory, operational and conduct risks arising from business change
- Managing issues and resolving appropriately
- Developing relationships and managing at all relevant levels, to influence positive action on regulatory risk
6
Skills For Regulatory Risk Group Manager Resume
- Leading a team of program managers responsible for supporting the ORM book of work
- Directing and driving the successful and timely completion of ORM programs to achieve business goals
- Influencing and effecting positive change across the business, in response to regulatory changes, where there is limited direct authority over those areas
- Understanding of Solvency II regime
- Working with or knowledge on a range of tools for example R, SQL, VBA, etc.
7
Skills For Compliance Regulatory Risk & Controls Analyst Resume
- Providing consultancy and support on regulatory, conduct risk and operational risk matters
- Establishing of KPI and KRI process for RWA GPO Derivatives Team
- Ensuring team adherence to Citi program and project management policies and standards
- Desire to get into detail of the rules, including taking both a legalistic approach and also understanding the “spirit” behind the regulation
- Trace through order flows and the underlying trading architecture to identify potential risk exposures, assess the integrity of underlying controls
- Drive project execution by building and managing project plans, lead working groups, manage project issues and risks
- Confidence in working with regulations/policies so as to obtain an understanding/awareness
- Keep up to date with new US regulations impacting CRO, and briefing to Senior Risk management of implications of new regulation
8
Skills For Solutions Specialist, Regulatory & Risk Resume
- Management of all US CRO’s regulatory commitments including maintain US commitments tracker, and RAG status tracking
- A background within Auditing and / or Investment Banking (beneficial)
- Assist with the implementation of a consistent approach to identifying risks across the organization for stress testing
- Redesign of existing DQ projects monitoring and new process execution
- Deep knowledge of the Basel framework covering risk issues (credit, operational & market risk; Pillars 2 & 3; new proposals)
- Business Group: Capital Optimization and Recovery and Resolution planning
- Function/Group: Reengineering and Strategic Program Execution
- Department: Reengineering Optimization and Interpretation (ROI)
9
Skills For Regulatory Risk Senior Consultant Resume
- Deep knowledge of US regulations in areas of risk management, stress testing and capital adequacy. (incl CCAR/ Volcker/ IHC)
- Broad understanding of current regulatory environment as applicable to Risk Management
- Broad understanding of Part 30 and Heightened Expectation requirements
- Broad understanding of 3 lines of defense framework
- Broad understanding of various Institutional Client Business products
- Move between the detail and the strategic, providing quality content at both
- Communicate with and influence senior management decision making
- Exposure to interesting advisory projects
- Attractive customized learning portfolio (professional designations and international certificates)
10
Skills For Regulatory Risk & Control Specialist Resume
- Clearly and concisely document all activities undertaken, the rationale for positions taken and the status of follow up action arising from same
- Strategically transform the regulatory reporting infrastructure for the CIB through the design, build and implementation of the xODS/ GRACE platform
- A detailed understanding of aspects of current regulation with an ability to develop a specialism in other areas/new of regulation
- An ability to challenge existing procedures and pro-actively look for process and system improvements
- An ability to learn and understand multiple areas of the business - existing knowledge of one or more product type (beneficial)
- Develop and implement training of relevant staff
- Perform quality assurance controls of the case handling in relevant units
List of Typical Responsibilities For a Regulatory Risk Resume
1
Responsibilities For Regulatory Risk Senior Analyst Resume
- Interact with remote business and technology partners as well as managing multiple priorities if needed
- Effectiveness and Quality of review work performed
- Develop and sustain strong relationships with client personnel
- Develop and maintain project artifacts and documentary evidence to support internal audit ad regulatory processes
- Banking Structural Reform
- Understand stress testing requirements for Banking Book and incorporate them in technology plans
- Contribute to shaping the future of Core Capabilities for Data Aggregation and Portfolio Reviews as required by Risk Governance Framework
- Develop presentations to senior management including status, etc
2
Responsibilities For Regulatory Risk Senior Manager Resume
- Remediate issues identified through independent testing.Search Jobs US
- Commitment to the job
- Quality and timeliness of advisory activities
- Deposit Guarantee Scheme Directive
- Support PNC’s risk appetite framework and the annual risk appetite reassessment
- Collaborates with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives. Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas
- Participates in business staff meetings as appropriate to provide an update of status/progress related to regulatory and audit initiatives
- Partners with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations. Participates in business staff meetings to provide an update of status/progress
- Development of project management and time management skills with opportunities to participate in a variety of project related tasks alongside day to day activities
3
Responsibilities For Associate / Senior Associate, Regulatory Risk Resume
- Opportunity to learn about BlackRock’s Aladdin applications and additional third party applications used to conduct surveillance
- Exposure to variety of regulations and regulatory interpretation through interactions with our Compliance Advisory function and through participation in the surveillance program; and
- Apply technical knowledge to manage clients’ services across various areas or functions
- As part of a small team, there are great opportunities to be involved in all aspects of the risk process, while mastering certain areas for which recognition is assured
- Prepare presentations and regulatory disclosures such as VaR in Citigroup’s 10Q/10K statements, CGML IMA Regulatory Capital, Basel III Market Risk RWA report
- In depth understanding of Citi’s technology & system infrastructure
- Keep an overview of relevant financial regulation
- Advise business on regulatory risks
4
Responsibilities For Regulatory Risk Consultant Resume
- Help to develop and maintain internal procedures
- Liaise with Compliance, Internal Audit and other internal control functions
- Provide input to internal reports and management information
- Aligned to the Bank’s Values and Beliefs
- Subject Matter Expert for IRC controls and enhancements
- Familiar with CitiRisk Market Risk and understand Citigroup VaR methodology
- Conduct impact (“what-if”) analysis of VaR, SVaR and IRC of new trades for business and risk managers
- Manage risk inventories for CCAR
- Assist with the development of scenario design processes for CCAR
5
Responsibilities For Senior VP, Regulatory Risk Senior Manager Resume
- Perform certain challenge activities for the processes owned by the team
- Oversee the risk inventory for CCAR/DFAST filings
- Assist clients with addressing enterprise wide compliance, including compliance risk management programs, third party compliance reviews, privacy/customer information security, fair lending, the Reinvestment Act, the Home Mortgage Disclosure Act, and the Unfair Deceptive Acts and Practices (UDAP)
- Help enhance the development and implementation of new compliance protocols as new regulations emerge and laws change
- Assist with the design, preparation, and analysis of reports and findings and present them in a clear, logical, and concise manner
- Identify opportunities to mitigate specific control weaknesses
- Monitor regulatory developments and industry trends in compliance and serve as an advisor to the Head of Regulatory Risk and the Senior Operational Risk Officer
- Identify risks and gaps in mitigating controls
- Complete a gap analysis and follow-up on all gaps after implementation to ensure that all policies and procedures have been enhanced
6
Responsibilities For Regulatory Risk Group Manager Resume
- Maintain and update the compliance risk factor library
- Through sound project management follow through issues from initiation to successful completion
- Production of data quality metrics and information packs supporting Basel III calculations, providing updates on progress to internal stake holders as well as external regulators
- Daily/monthly analysis and reporting of issues counterparty credit risk exposure fluctuations in the trading book portfolio
- Clearly articulate and document findings
7
Responsibilities For Compliance Regulatory Risk & Controls Analyst Resume
- Develop, communicate, and execute clear and actionable deliverables
- Identify risks and issues, make recommendations, and escalate as necessary
- Ensure Corrective Action Plans for Internal Audit issues and Regulatory issues are developed and executed on time and in compliance with both internal and external protocols
- Track deadlines, deliverables, resources and timelines throughout the project lifecycle
- Synthesize project progress and develop metrics for senior management, internal audit, and external regulator consumption
- Produce detailed and actionable meeting minutes and action items for Steering Committee meetings, Sponsor’s meetings, and other Senior Governance meetings as well as regulatory meetings, working group meetings, etc. and track the follow-up actions
- Continuously improve subject matter expertise related to Basel and financial products in the business areas to become a trusted advisor to the work stream leads, acting as a partner in meeting regulatory requirements regarding Capital and RWA and articulating them in presentations to seniors in a crisp and concise manner
8
Responsibilities For Solutions Specialist, Regulatory & Risk Resume
- Excellent proficiency in Microsoft Office – particularly Excel (metrics and data analysis), PowerPoint (presentation decks), and Word (writing and editing procedural and technical documentation)
- Execute on strategy for Core Capabilities of Portfolio Risk Reviews for ICG Risk in partnership with Risk Policy, Risk Managers, FRI, Technology and other key stakeholders
- Socialize and update portfolio risk reviews guidelines to incorporate changing regulatory, market and internal policy requirements
- Develop and execute technology strategy for implementation of portfolio risk reviews guidelines
- Work with technology to develop a reporting strategy for development of on-demand standard portfolio review reports, adhoc portfolio review reports and special situation portfolio review reports
- Develop and communicate EUC policy and strategy for reduction of EUCs associated with core capabilities of portfolio risk reviews
- Ensure enhancements of MCA to incorporate key controls required by portfolio risk reviews guidelines
9
Responsibilities For Regulatory Risk Senior Consultant Resume
- Assess and communicate data requirements from a risk perspective to ensure capture of data elements comprehensively
- Work with technology to provide ICG Risk inputs for retirement of Credit Engine, development of Genesis and its consumption into OPTIMA
- Constructively impact efficiency and productivity of various ICG Risk units
- Gain global view of the Risk Governance Framework, Risk Appetite and Risk Management Policies
- Improving team mastery of program management disciplines including progress, issues, risk, communication and change management to ensure timely and proactive 1) identification of program issues and risks and 2) development and execution of mitigation/resolution plans
- Management of the scope of the book or work to ensure sufficient resource allocation, documented stakeholder approval and successful completion of the program
- Partnering with IT to evolve the CitiRisk OpsRisk application suite to eliminate silos through greater integration and automation thereby facilitating the improvement of operational risk business processes
- Experience in program/project management practices or related responsibilities (operational change management, reengineering) in a financial services institution is required
- Significant subject matter expertise in operational risk or a closely related discipline
10
Responsibilities For Regulatory Risk & Control Specialist Resume
- Regulatory risks and opportunities identified and researched impact analysed, findings synthesised and documented
- Communication, education and awareness events and material delivered
- Issues managed and resolved appropriately
- Consultancy and support on regulatory and conduct risk matters provided
- Relationships developed and managed at all relevant levels to influence positive action on regulatory risk
- Process documentation for Risk Management and work with teams to identify key controls and gaps
- Organize required documentation for timely submission to audit
- Analyze data to identify trends
- Understand applicable regulatory requirements related to business activities
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