Regulatory Attorney Resume Sample

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Giles Collier
29397 Nadia Oval,  San Francisco, CA
+1 (555) 977 6114

Work Experience


Senior Regulatory Attorney
08/2017 - PRESENT
Dallas, TX
  • Prepares and delivers written and oral presentations to senior management on legal issues
  • Advise a variety of healthcare provider clients on business transactional, operational, and regulatory matters
  • Previous experience working on regulatory matters
  • Knowledge of equities and fixed income regulatory rules, regulations, and interpretive guidance, with an emphasis on electronic trading
  • Experience advising on HIPAA compliance, Anti-kickback and Stark Law
  • Advise as to the interpretation, implementation and compliance with a variety of banking regulations with a specific focus on regulations applicable to bank holding companies/intermediate holding companies, such as, among other things, bank regulatory capital requirements under FRB guidelines and Basel Accords, enhanced prudential standards under Dodd-Frank and Volcker Rule requirements
  • Other transaction support
  • Give advice as to regulatory matters affecting structuring transactions
Regulatory Attorney
09/2010 - 06/2017
Houston, TX
  • Review/prepare internal documents, policies, etc. for other units or Bank-wide policies and procedures
  • Prepare training materials and deliver lectures on relevant legal and regulatory topics
  • Assist with interpretation and compliance with internal Bank policies and procedures
  • Perform corporate secretary functions for one or more boards of directors
  • Prepare various filings and communicate with banking regulators
  • Keep informed on state and federal legislative and regulatory proposals that would affect financial institutions
  • Applies knowledge of enterprise goals, business environment, and functional needs to design and develop strategic plans; executes strategies and methods in alignment with enterprise goals and Legal Staff policies
  • At least two years of environmental regulatory, experience
Regulatory Attorney Consumer Lending Servicing & Default
06/2003 - 05/2010
Houston, TX
  • Manage the department’s handling of regulatory matters, including information requests, auditors and/or investigations
  • Engage in issue spotting, risk assessment, and problem solving on a daily basis
  • Draft, review, and negotiate agreements appropriate to a variety of arrangements with producers and third parties
  • Recommend application of corporate policies and legal controls to protect the company’s interests and objectives
  • Deliver high-quality work product on a timely basis to the company’s business units
  • Excellent oral and written communication and interpersonal skills including the ability to assess implications of proposed actions/arguments and respond appropriately in private and public forums
  • Knowledge of research and analysis techniques and application of federal, state, and local government laws and regulations
  • Project management and leadership skills, including the ability to work as a team member, to maintain project timelines, and deliver commitments

Education


Muskingum University
1998 - 2003
School's Degree in Business

Professional Skills


  • Excellent oral and written communication (including drafting and negotiating) skills
  • Strong ability to manage time, set priorities and work independently in an international oriented and demanding commercial environment
  • Strong ability and interest in understanding complex network and technical details in telecommunications
  • Mortgage originations and/or servicing experience required
  • Experience providing legal support in one or more of the following areas: sales practices, trust, DOL Fiduciary Rule, conflicts of interest
  • Liaising with ICE Global Corporate Compliance on compliance-related and reporting issues
  • Keeping abreast of regulatory issues and changes impacting our market centers

How to write Regulatory Attorney Resume

Regulatory Attorney role is responsible for leadership, equities, securities, training, litigation, telecommunications, trading, reporting, design, research.
To write great resume for regulatory attorney job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Regulatory Attorney Resume

The section contact information is important in your regulatory attorney 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
  • Email
  • Telephone number

Work Experience in Your Regulatory Attorney Resume

The section work experience is an essential part of your regulatory attorney 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 attorney 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 attorney position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Regulatory Attorney resume experience can include:

  • Advising businesses and control functions on Bank Holdings Company Act matters, including: - Reviewing transactional structures and authority determinations - Capital and liquidity requirements - Regulation K considerations
  • Problem-solving skills that demonstrate ability to critically evaluate and analyze issues and recommend well thought-out and/or creative solutions
  • Excellent organizational and time management skills with appropriate attention to detail
  • Eight to 10 years of experience as an attorney
  • At least three to five years of relevant work experience
  • Providing guidance to FINRA and member firms regarding the interpretation and application of the NYSE SROs’ rules

Education on a Regulatory Attorney Resume

Make sure to make education a priority on your regulatory attorney resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory attorney 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 Attorney Resume

When listing skills on your regulatory attorney 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 attorney skills:

  • Sound business judgment and exceptional communications and interpersonal skills
  • Licensed by and in good standing with the appropriate state bar association or other appropriate state attorney licensing authority
  • Current member in good standing on at least one state bar; ability to obtain licensure in Kansas
  • Relevant legal experience in telecommunications, at a law firm and/or in-house
  • Strong ability to work accurately and in an organized manner with attention to detail
  • Two to seven years of experience as an attorney

List of Typical Experience For a Regulatory Attorney Resume

1

Experience For Banking Regulatory Attorney Resume

  • Supporting the management of our L&R insurance companies’ state insurance exams, and states market conduct filings and regulatory inquiries
  • Review, edit and/or draft training and Firm Element materials
  • As requested, assist in drafting and/or reviewing business related forms and communications, legal memorandum, and responses to regulatory examinations/investigations
  • Develop and present recommendations to senior management within the organizational unit and the company regarding courses of action
  • Prepare all forms of legal documents including pleadings, data requests, data request responses, testimony, regulatory documents, reports, and presentations
2

Experience For Senior Regulatory Attorney Resume

  • Provide legal support for policy and strategy, including northwest regional energy issues
  • Work with outside consultants and/or counsel to manage compliance/regulatory related matters and seek clarity and guidance
  • Provide legal assessments, interpretations, recommendations, and representation on state regulatory issues, as well as corporate policies and issues in compliance with federal, state, county, and municipal statutes and other legal authority
  • Analyze pertinent legal and regulatory information
  • Represent the company on all aspects of litigation related to regulatory matters
  • Oversee, select, and direct outside legal counsel, as needed
  • Recommend application of company and department policies to protect the company's interests and objectives
3

Experience For Regulatory Attorney Consumer Lending Servicing & Default Resume

  • Deliver high quality work product on a timely basis to the company's business units
  • Collaborate with and support L&R legal professionals with maintenance of L&R’s regulatory monitoring and advocacy function, as well as the regulatory change management function
  • Provide legal and regulatory support, including legal research, drafting and document review, on L&R insurance companies’ state insurance exams and market conduct related inquiries and/or filings
  • Provide day-to-day general legal and regulatory advice and/or support to other L&R teams and L&R legal entities, as requested, including general contract review and insurance regulatory filings
  • Provide support on special projects as requested, and some limited travel for business anticipated (~5-10%); and
  • Effectively work in a team environment, closely collaborate and provide team support with peers across Legal, Compliance and other control functions at the segment (L&R) and global (AIG) levels
4

Experience For Bank Trust Risk-regulatory Attorney Resume

  • Top academic credentials, excellent oral and written communication skills, in particular the ability to communicate complex concepts clearly and simply and to present clear choices are required
  • Demonstrated abilities in review and handling of complex transactions, as well as experience in dealing with insurance regulators and/or regulators in general, are beneficial
  • Proficient with Microsoft Office programs (including Word, Outlook, PowerPoint and Excel), excellent technology skills (e.g., use of SharePoint sites, Archer and other platforms to meet Performance Objectives) and/or demonstrated willing to learn new technologies
  • Supporting CIB Legal’s participation in the Office of Legal Obligations ("OLO"), a Firmwide program that aims to design and develop a global, risk-based process to evidence the Firm’s understanding of applicable laws, rules and regulations (“Legal Obligations”) and the policies, procedures and controls needed to comply with those Legal Obligations
  • Independently provides strategic and skillful legal counsel within area of expertise to manage regulatory, compliance and litigation risk to USAA businesses. Leads highly complex legal and unique work assignments to deliver highly effective problem resolutions. Engages and collaborates with other legal experts within the company and at times outside counsel

List of Typical Skills For a Regulatory Attorney Resume

1

Skills For Banking Regulatory Attorney Resume

  • Strong working knowledge of the financial services and insurance industries, including knowledge of both investment and insurance products and services
  • Experience with bank supervisory examinations and enforcement actions is also helpful
  • Managing a heavy volume of complex corporate legal functions
  • Understanding of pharmacy regulations
  • Take primary responsibility for licensing and regulatory positioning in key jurisdictions in the Asia-Pacific region
  • Truth in Lending Act and Regulation Z
  • Ensures escalation of matters presenting more significant risk to more senior attorneys
  • Thorough and current knowledge of laws and regulations impacting the subject matter and/or business line supported by the attorney
  • Motivated self-starter who can work independently with initiative in handling diverse situations, sound judgment and discretion
2

Skills For Senior Regulatory Attorney Resume

  • Attorney admitted to the New York Bar
  • Excellent oral presentation skills as well as, written, cross functional and interpersonal communication skills that are appropriate for various levels, including senior management and staff
  • Strong problem solver and planner with organization and analytical ability
  • A J.D. and substantial practical experience in U.S. bank regulatory law, including (but not limited to) the Bank Holding Company Act, the National Bank Act, the Federal Deposit Insurance Act, the Federal Reserve Act and the Dodd-Frank Act, and regulations issued thereunder by the federal banking agencies
  • Pro-active and independent attitude and result oriented approach
  • Ignificant, sophisticated securities regulatory experience, preferably with large national law firm, in-house legal department, or with a federal, state or SRO regulator
  • Coordinating support across a team of CIB lawyers and providing legal support to the Firm’s Global Market Infrastructures (“GMI”) team, which manages the Firm’s network of relationships with Financial Market Utilities and agent banks (cash and securities)
  • Supporting CIB Legal’s representative for the Firm’s New Business Initiatives Approval program
  • Payment Card Industry standards
3

Skills For Regulatory Attorney Consumer Lending Servicing & Default Resume

  • Responsible for analyzing the application of laws and regulations and preparing recommendations and/or documents to support the organization. Applies advanced knowledge regarding relevant business, industry, and area of legal specialty
  • Leads highly complex legal research and provides solution-oriented legal advice and counsel to senior level internal clients that support business objectives. Effectively manage and work with outside counsel to complete assignments with minimal supervision
  • Leads cross-functional assignments in the development and implementation of key initiatives. Anticipates opportunities and potential solutions and leads team through the problem resolution process
  • A proven background of relevant legal experience exhibiting maturity and independence of judgment in difficult and complex circumstances; anticipates internal and external business challenges, as well as regulatory issues
  • Excellent analytical, drafting and written/oral communication skills. Ability and experience to draft clear and professional correspondence, policies, procedures, training and other documents of both legal and business nature
4

Skills For Bank Trust Risk-regulatory Attorney Resume

  • Read, analyze and interpret complex documents, regulations and laws and transform into language that is easy for a wider audience to comprehend
  • Excellent interpersonal, problem-solving, and leadership skills. Ability to establish effective working relationships throughout operational groups in an environment where coordination and teamwork with legal and business associates is a top priority
  • Weigh legal risks within a dynamic business environment and deliver timely, proactive and constructive legal advice to all levels of the company, including senior management, that is supportive of business objectives
  • Highly organized individual with special attention to detail and ability to manage multiple priorities/deadlines, pressure and stress inherent in the practice of law
  • Effectively manage and work with outside counsel to complete assignments with minimal supervision
  • Prior experience in a bank regulatory agency
  • Energy industry experience and general understanding of utilities
  • Independently provides strategic and skillful legal counsel within area of expertise to manage regulatory, compliance and litigation risk to USAA businesses
5

Skills For Consumer Finance Regulatory Attorney Resume

  • Leads highly complex legal and unique work assignments to deliver highly effective problem resolutions
  • Assisting with regulatory requests and examinations Basic Qualifications
  • Proofread and edit documents using standard proofreader's marks
  • Keeps abreast of any changes in regulations and laws advising appropriate organizational leadership of such changes
  • Monitor, review and analyze existing and proposed state and local laws and regulations
6

Skills For State Regulatory Attorney Resume

  • Proficient in MS Office Suite (Word and Excel)
  • Engages and collaborates with other legal experts within the company and at times outside counsel
  • Leads highly complex legal research and provide solution-oriented legal advice and counsel to senior level internal clients that support business objectives
  • Produces clear and concise written materials appropriate for submission to senior level internal clients
  • Advises senior executive management, to include executive council, on issues
  • Leads and motivates cross-functional team members in strategy development and implementation of business solutions
  • Leads cross-functional assignments in the development and implementation of key initiatives
  • Anticipates opportunities and potential solutions and leads team through the problem resolution process
7

Skills For Bank Regulatory Attorney, VP Resume

  • Experience in one or more of the following areas: Service members Civil Relief Act, risk management, antitrust, insider activities, and federal savings bank permissible activities
  • Prior law firm or in-house counsel experience
  • Provide support to all areas of the company to interpret compliance obligations as applicable (state, federal, investor, etc.)
  • Maintain competence in consumer protection laws and regulations governing residential mortgage activities, including TILA, RESPA, FDCPA, ECOA, FCRA and other applicable law and rules
  • Advise senior management of compliance risks related to regulatory issues and coordinate with cross-functional business teams to devise practical solutions
  • Provide legal support for regulatory examinations
  • Provide support for responses to customer/regulatory complaints
  • Managing an ongoing caseload of referrals stemming from FINRA’s reviews and examinations of NYSE member firms, where violations of NYSE rules or the federal securities laws have been identified
  • Assisting with investigations arising from surveillance conducted by NYSE Regulation, as well as overseeing investigations arising from surveillance conducted by FINRA involving cross-market activity
8

Skills For Bank Regulatory Attorney Resume

  • Reviewing and analyzing examination referrals, including examination reports, firm responses, recommendation summaries, precedent history, prior disciplinary histories and other relevant information
  • Summarizing and preparing recommendations to NYSE Regulation’s Disciplinary Action Committee for resolution
  • Coordinating with internal stakeholders, including NYSE Regulation Enforcement, NYSE Regulation Surveillance and Investigations, NYSE Legal, Information Technology and business units on matters related to examinations, investigations, rule developments and referrals
  • Participating in meetings with FINRA management to address and identify issues of concern, track the timeliness of various deliverables, and identify trends relating to examinations of member firms
  • Leading and participating in special projects and initiatives with NYSE Regulation staff and business stakeholders
  • Managing periodic updates to various contractual agreements
  • Knowledge of securities trading and market structure
  • Adapt in a high-growth, rapidly evolving industry
  • Assess obligations and regulatory risks both domestically and in jurisdictions around the world, and provide guidance to internal operations, sales, product, and engineering teams
9

Skills For Senior Client Regulatory Attorney Resume

  • Monitor (changes in) relevant law and regulations globally to advise and act upon
  • Provide legally sound, practical, results-oriented recommendations to resolve business challenges
  • Negotiate carrier and network agreements both domestically and internationally, in a professional and timely manner
  • Primarily responsible for managing interactions with federal and state securities regulators as well as self-regulatory organizations (e.g., FINRA), including regulatory examinations and investigations, document production and regulatory examination responses
  • Primary legal counsel to business principals in branch office locations and home office business units during regulatory examinations and investigations
  • Primarily responsible for managing field referrals of suspected vulnerable adult financial abuse, including, but not limited to, the investigation and reporting of suspected abuse in accordance with FINRA rules and relevant state laws
  • Primarily responsible for regulatory counsel on insurance, broker-dealer and investment adviser related matters, including supervision, compliance policies and procedures, sales and marketing practices, record keeping and licensing
10

Skills For Legal Assistant General Counsel Regulatory Attorney for the Corporate & Investment Bank VP Resume

  • Assist with legal counsel relating to the application of federal, state and SRO rules and regulations, including the DOL fiduciary rule
  • Monitor, review, and interpret state and federal securities and insurance legislation and SEC and FINRA rules and regulations; coordinate with business leaders to implement any contemplated changes in business processes
  • Serve as representative to certain standing and ad hoc committees, task forces, and working groups
  • Educate business leaders regarding proactive measures and approaches to manage potential regulatory exposure
  • As requested, attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications
  • Serve as regulatory rule subject matter expert on process and system changes, ensuring that business requirements have been developed in compliance with regulatory requirements
  • Project management and leadership skills, including the ability to work as a team member, to maintain project timelines, budgets, and deliver commitments

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