Regulatory Controller Resume Sample
Celestine Lakin
2144 Arvel Stream,
Houston,
TX
+1 (555) 734 3324
Work Experience
CIB F&BM Securitized Products Group Capital & Regulatory Controller Associate NY
03/2017
-
PRESENT
Los Angeles, CA
- Acquires or originates, warehouses, and subsequently securitizes consumer and other financial assets
- Makes markets in existing securitized financial assets
- Provides financing of consumer and other financial assets for clients
- Underwrites securitizations for third parties
- Structures and trades in derivative products linked to securitized products
- Progressing internal assurance agenda, analysis of processes and procedures to ensure regulatory compliance, working
- Production of daily Large Exposure monitoring (‘LEMS’)
- Understand and interpret Capital Requirements Regulations (‘the rulebook’)
Regulatory Controller
12/2010
-
12/2016
Phoenix, AZ
- Researching treatment of new Bank products in regulatory reports
- Performing various adhoc requests, including assistance with presentations, audit request, and researching accounting and/or regulatory inquiries
- Ensuring that the Banks maintain a strong internal control environment (including performance of due diligence procedures and procedures documentation)
- Assist the team in preparation of the firm’s statistical reporting requirements to the Bank of England for the UK Bank regulated entities (JPMCB, JPMSplc, JPMEL, JPMIB)
- Assist in the coordination of the CCAR 14M, FFIEC 009, GSIB, TIC and SNC production including preparing and presenting due diligence decks as required for sign off to relevant teams including Reg Reporting providers, attestation leads and senior management
- Assess Controls inventory for changes in instructions, business, risk, processes, people and communicate changes required for implementation in the attestation workflow tools
- Lead IT changes (Axiom) required conforming to new rules Instructions from FRB for CCAR 14M, FFIEC 009, GSIB, TIC and SNC reports LI-ND1
- Assist in the coordination and communication of the CCAR production calendar to relevant teams including Reg Reporting providers, treasury, and attestation leads to confirm process timeline and ownership of controls/attestations
- Work with key stakeholders to understand changes to Fed templates and ownership changes and their impact to existing requirements
Bank Legal Entity Regulatory Controller
09/2004
-
06/2010
Los Angeles, CA
- Work with key stakeholders to document the controls around open issues, confirm action plans and follow up on closure of the open items
- Assess Controls inventory for changes in instructions, business, risk, processes, and people and communicate changes required for implementation in the production and attestation workflow tools
- Ensure that all controls, procedures and control standards are documented
- Ensure that all FAQs and instruction updates are communicated to relevant parties
- Participate in technology improvement initiatives (Migration of attestations to strategic platform, automation of reconciliations, etc)
- A challenging position within the Basel Measurement and Reporting team in Zurich with hubs in New York and Zurich, as well as regional offices in London and Singapore. The group is responsible for measuring and reporting the firm’s Swiss regulatory capital, leverage ratio and balance sheet. Further, the divisions and the capital management team are supported in managing these numbers
- A key role as team lead in a small team calculating and reporting the capital management requirements for business areas Sales and Trading Services (STS), Investment Banking Switzerland and Swiss Treasury ensuring that the bank holds capital reserves appropriate to the credit risk exposure
- An opportunity to gain a thorough understanding of the Basel 3 regulatory framework and its implementation within Credit Suisse as well as to get insight of the bank’s trading activity
Education
George Fox University - Boise Center
1999 - 2004
Bachelor's Degree in Management
Professional Skills
- Attention to detail and people time management are essential skills for this role
- Relevant work experience in public accounting, fund accounting or product control
- Regulatory Reporting preparation and leadership experience, with specific knowledge of CCAR 14M, FFIEC 009, GSIB, TIC, SNC, FR Y9C and/or Capital reporting a +
- Detailed knowledge and past experience of COREP capital and liquidity reporting under CRD IV
- Communicate complex ideas in a clear and concise manner, shaping the opinions and actions of key stakeholders and gaining their trust
- Comfortable in a changing environment LI-FH1
- Part qualified / Fully qualified (e.g.: CA, CIMA, ACCA)
How to write Regulatory Controller Resume
Regulatory Controller role is responsible for reporting, credit, finance, automation, drivers, inventory, accounting, analysis, planning, compliance.
To write great resume for regulatory controller job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Controller Resume
The section contact information is important in your regulatory controller 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 Controller Resume
The section work experience is an essential part of your regulatory controller 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 controller 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 controller position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Education on a Regulatory Controller Resume
Make sure to make education a priority on your regulatory controller resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory controller 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 Controller Resume
When listing skills on your regulatory controller 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 controller skills:
- Relevant governance, audit, control, and leadership experience, specifically in areas of accounting, risk management, and finance in a large financial institution
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