Regulatory Initiatives Resume Sample

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Alberta Emard
676 Cesar Burgs,  New York, NY
+1 (555) 981 4951

Work Experience

CIB F&BM Regulatory Initiatives & Standards Associate
10/2015 - PRESENT
Chicago, IL
  • Learn the challenges of each CCAR process at Citi and be able to create a solution which bridges the gaps between Citi’s current systems and infrastructure and the regulatory demands placed on the firm
  • Research and assess the business impact of regulatory reforms on the bank’s business and operating model
  • Managing material components of the CCAR process, including design and/or re-engineering of program components, maintaining and communicating the top-of-the-house CCAR execution calendar, communicating all CCAR requirements and deliverables to workstream leads and project managers, overseeing the organization and compilation of submission documentation, and vendor/procurement management
  • Oversee and coordinate the production of ongoing reporting to senior management for all aspects of CCAR initiatives, including enhancement initiatives, remediation initiatives, and the top-of-the-house CCAR budget
  • Substantively manage, contribute to, and coordinate either across functions or within Risk for core capital planning documents, including the Capital Plan, the Recovery Plan and the Resolution Plan
  • Contribute to the creation of Board-ready materials, particularly CCAR presentations
  • Work across the firm and various risk types (Market, Credit, Operational) to drive change and influence risk and regulatory outcomes
  • Leading or assisting in various ad hoc projects as needed such as coordination of regulatory exams and internal audits
  • Identifying space requirements for the Strategic Regulatory Initiatives team and negotiating with space planning teams to ensure requirements are met
CIB F&BM Regulatory Initiatives Management
10/2012 - 07/2015
New York, NY
  • Providing other business office support on an “as needed” basis such as negotiating statements of work, consultant invoicing and onboarding support
  • Ensure the Program’s activities align to the department’s Technology agenda, Risk and Control Self Assessments (RCSA) and Action Plans
  • Deliver sections of the Capital Plan and Capital Adequacy Assessment
  • Drive CCAR results analytics (by business and geography), Sensitivity and Loss Attribution Analysis, and Key Assumption identification—with most relevant findings presented to Citi senior management and Board of Directors
  • Manage components of the regulatory review process with selective work-streams, with Focus on Finance areas (PPNR, AFS/HTM, RWA, Scenario Design and Variable Forecasting)
  • Help link Material Risks for Citigroup into the Scenario Design and quantify how risks are captured in stress losses
  • Monitor CCAR rule/instruction changes; provide guidance on the instructions to the businesses and functional owners
  • Identifying FCA, PRA and ESMA publications, logging them in the UK Rules Tracker, assessing which business areas are impacted and notifying the relevant Compliance coverage teams
Strategic Regulatory Initiatives Organization
02/2006 - 09/2012
Chicago, IL
  • Representing Compliance in the bi-weekly EMEA Regulatory Core team meetings and presenting publication updates
  • Assisting with socialising and maintaining the EU Regulatory Reform Tracker
  • Assisting with the annual Periodic Rules Framework Assessment
  • Acting as EMEA point person for the Firm’s development of the Global Rules Management Framework Library, including user acceptance testing, inputting to the design and acting as EMEA owner post-implementation
  • Subject Matter Expertise in capital markets regulations
  • Monitoring compliance with regulations from a Business Line Perspective
  • Market Infrastructure Projects to optimize our compliance with regulations


Webber International University
2001 - 2005
Engineer's Degree in Management

Professional Skills

  • Experience in Global Capital Markets in a Trade Floor Supervisory function, Compliance or Risk role
  • Develop testing strategies and execute testing plan
  • Manage and coach a team of staff (3 – 5 members) by setting performance expectations, monitor progress and providing performance feedback
  • Coordinate with technology and business area in on-going project execution
  • Build capital market operations expertise including product, process and operational controls
  • Subject matter expertise or strong understanding of risk and risk measures (such as wholesale credit risk models, Basel II and Basel III, credit ratings, VaR, economic capital, stress tests, and Risk Appetite)
  • BA/BS and 6-10 years of experience

How to write Regulatory Initiatives Resume

Regulatory Initiatives role is responsible for compliance, finance, securities, reporting, design, research, legal, range, powerpoint, excel.
To write great resume for regulatory initiatives job, your resume must include:

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

Contact Information For Regulatory Initiatives Resume

The section contact information is important in your regulatory initiatives 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 Initiatives Resume

The section work experience is an essential part of your regulatory initiatives 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 initiatives 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 initiatives position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Regulatory Initiatives resume experience can include:

  • Strong Excel and PowerPoint skills (e.g. maintain rule trackers, produce periodic Management Information)
  • BA/BS with a strong GPA, relevant coursework, and 2+ years of experience in economics or finance
  • Reviewing existing first and second line control frameworks for compliance with rules and regulations relevant to Morgan Stanley’s business
  • Scotiabank Co-op Orientation: opportunity to meet and network with all co-op students working at Scotiabank each term
  • Works closely with the control groups including Legal and Compliance to understand and interpret the margin rules
  • Establishment of Key Controls and Processes in an environment of continuous improvement and to mitigate regulatory risk for the Bank

Education on a Regulatory Initiatives Resume

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

When listing skills on your regulatory initiatives 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 initiatives skills:

  • Develop user requirement and obtain approval
  • Define and document operations process changes
  • Develop solid relationships and collaborate effectively with key stakeholder groups, including GWO operations, GBM Regulatory Initiatives Groups (RIG), Legal, Compliance, technology, GCMD, as well as other front to back areas
  • Provide a high level of professional service to internal and external stakeholders, consistent with the RIG’s role as a center of excellence for Scotiabank
  • Leading and actively contributing to the overall management and execution of the CCAR process
  • Driving change and enhancements identified by management and/or regulators. Examples include

List of Typical Skills For a Regulatory Initiatives Resume


Skills For CIB F&BM Regulatory Initiatives Management Resume

  • Design and ongoing refinement of ‘macro’ initiatives supporting Citi’s capital planning processes, including Material Risk Identification, Scenario Design, Key Assumptions, Sensitivity Analysis
  • Good communication skills - able to present complex matters succinctly to a range of audiences (Compliance and across the Firm’s other Divisions, including Legal)
  • BA/BS with a strong GPA, relevant coursework, and experience in economics or finance
  • Work independently as well as work as part of a team
  • Either in possession of, or a willingness to develop, a detailed understanding of existing and planned technology platforms at Citi, so that CCAR/DFAST can leverage existing functionality, and can also influence technology capabilities moving forward
  • Previous exposure and knowledge around HR, Compliance, Risk & Regulatory Frameworks is highly advantageous

Skills For CIB F&BM Regulatory Initiatives & Standards Associate Resume

  • Work with multiple stakeholders to execute
  • Identifies detailed business requirement, assesses and resolves business and systems issues
  • Previous experience in financial services with a leading bank, securities house, regulator or consultancy practice in an operational, control or compliance function
  • Managing the UK rules management framework, EU Regulatory Reform tracking and representing EMEA Compliance in the Global Rules Management Framework working group
  • Key Risk Indicators (KRI) & Business Environment and Internal Control Factors (BEICF)
  • Develop business case
  • On site cafeteria

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