Regulatory Management Resume Sample

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Otilia Deckow
370 Rice Parkway,  Chicago, IL
+1 (555) 861 1235

Work Experience

Regulatory Management Lead
03/2017 - PRESENT
Los Angeles, CA
  • Working closely with the Head of SRS to execute on firmwide regulatory management strategy, demonstrate thought leadership on supervisory regulator engagement and develop firmwide ‘narrative’ with input from LOBs and Functions
  • Advises the Company’s General Counsel, SHUSA’s Regulatory Relations Officer and other key stakeholders on likely outcomes of exams and keep abreast of all information that is being delivered to the regulators
  • Oversees SCUSA’s adherence to applicable financial services legislation and regulations, codes of best practice and Santander US Policies
  • A professional and credible manner, especially in your working relationship with representatives of the regulatory authorities and Senior Management
  • A structured, particular and organised working style with a high standard of accuracy
  • The ability to take the initiative, direct others and overcome institutional inertia, especially where change is required to pro-actively address changing regulatory expectations
SVP Regulatory Management
03/2011 - 11/2016
Houston, TX
  • Strong communication skills (both verbal and written), with the ability to express complex ideas and arguments clearly and effectively
  • Professional experience with either European Central Bank (ECB), German, United Kingdom or United States regulators, with a particular focus on banking regulation
  • A background gained in banking either from Legal, Compliance/Regulatory, Business Management, Front Office or Chief Operating Office roles
  • An understanding and considerable interest in government and regulatory issues
  • A sound knowledge of the Bank's organisational structures
  • Providing guidance to auditors on methodology-related matters
  • Delivers learning and development programs and is a recognized as a key contributor in training and developing efforts within Internal Audit
  • Works with the IA Heads of Audit and Chief Audit Executives for all 101 Citi Presence Countries to track regulatory examinations and ensure requests are escalated, reviews, approved and responded in a timely manner with all appropriate IA senior management involvement
  • Drives utilization of the Regulatory Interaction Management System (RIMS)
CIB & Corporate Risk Regulatory Management Analyst Role
10/2004 - 09/2010
Detroit, MI
  • Works with the IA Product and Regional Chief Auditors to coordinate all regulatory exams and prepares reports to provide updates to the IA OPCO on a regular basis
  • Identifying and interpreting new regulation including ensuring alignment with the Firm’s risk management framework
  • Coordinating Firm’s responses to Consultation Papers and evolving new regulation
  • Advisory role across risk management focusing on regulatory standards
  • Drive CT&R’s SOX and SSAE 16 program and serve as an interface to other LOBs and external auditors
  • Build out robust audit, issue and IT break management reporting capabilities to keep stakeholders proactively aware of performance and to articulate CT&R’s risk posture
  •  With the regional CCO and global functional reporting lines, setting the strategic relationship agenda and actioning the firm’s senior management on this agenda


University of Connecticut School of Business
2000 - 2004
Bachelor's Degree in Management

Professional Skills

  • Significant experience of producing operating model designs and organisation design
  • Experience of leading Target Operating Model assignments
  • Experience in leading business requirements development
  • Experience & Understanding of Financial Services environment
  • Experience working with compliance and legal professionals
  • Experience of working on regulatory change initiatives
  • Experience and Understanding of financial regulatory environment,

How to write Regulatory Management Resume

Regulatory Management role is responsible for analytical, events, finance, credit, securities, training, database, compensation, trading, equities.
To write great resume for regulatory management job, your resume must include:

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

Contact Information For Regulatory Management Resume

The section contact information is important in your regulatory management 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 Management Resume

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

Representative Regulatory Management resume experience can include:

  • Effectively manage the impact of planned change on those processes and the business areas affected by that change
  • Experience in Credit Risk Management, Loan Operations, and/or Credit Origination and Structuring ideal
  • Provide effective management and oversight of compliance team in DB China Inc
  • Maintaining tracking records of the Central Team’s activities to ensure transparency and allow oversight of the team
  • Maintaining the group’s myDeutscheBank site including the key static and operational information (e.g. Contact lists, Organograms etc)
  • Understanding and simplifying the regulatory impact of assigned regulatory change on Barclays UK (BUK)

Education on a Regulatory Management Resume

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

When listing skills on your regulatory management 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 management skills:

  • Experience of establishing effective control environment to enable transition to BAU
  • Experience working with compliance/risk and legal professionals
  • Recruit, retain and manage contract analyst resources, ensuring they work to common standards. Ensure their knowledge and experience is shared
  • Experience in processes and procedures developments
  • Lean Management experience gained in a complex Financial Services environment
  • Maintaining RMG’s policies and key operating procedures (KOPs), making changes as-and-when deemed necessary

List of Typical Experience For a Regulatory Management Resume


Experience For Regulatory Management Lead Resume

  • Inquisitive and proactive in identifying opportunities to improve processes, identifying risks, and proposing solutions
  • Focus on and communicate GRC’s long-term objectives in an engaging and collaborative manner, in the face of continual change
  • Coordinate production of Risk’s weekly report summarizing regulatory engagements
  • Maintain data recording Risk’s regulatory engagements in the firmwide system of record
  • Maintain and enhance the reporting of Risk’s regulatory issues
  • Escalate issues to Head of Compliance Risk and Regulatory relations timely and appropriately

Experience For SVP Regulatory Management Resume

  • Develop talent staff and build talent staff pool
  • Proficiency in the use of Microsoft Excel and Microsoft Word
  • Continuous development and enhancement of the firm’s approach to LCR and NSFR compliance and controls, both proactive and in response to regulatory guidance or rule changes
  • Regulatory relationship manager and direct partner to the Bank’s onsite regulators and certain offsite regulator specialists from the various branches Federal Reserve Board system and others
  • As a team lead, responsible for team planning around objective setting and driving objectives management through year end, ensure your team’s compliance training requirements are timely met, and delivery of team workshops
  • Display good judgment around prioritization and knowing what’s relevant and important to your regulator and your coverage area

Experience For Central Office, Regulatory Management Group Resume

  • Examination management skills
  • Ownership and maintenance of Risk’s proprietary exam management database
  • Self-starter who is able to work well independently
  • Team player; ability to successfully partner with colleagues across regions and/or

List of Typical Skills For a Regulatory Management Resume


Skills For Regulatory Management Lead Resume

  • Strong written and verbal communication skills to Senior Management
  • Excellent analytical and presentation skills and the ability to convey complex issues succinctly
  • Strong communication skills and ability to coordinate across various lines of business, legal entities and regions
  • Substantial complex business change management experience
  • Experience in financial services or related field
  • Leading the design activity for BUK to produce business current state, target operating model and business requirements

Skills For SVP Regulatory Management Resume

  • Understanding of financial regulatory environment,
  • Maintaining awareness of business process development and change throughout the business
  • Delivering in accordance with BUK Regulatory Management methodology
  • Managing any traceability implications from regulations to the designs/business requirements
  • Knowledge of various FINRA and SEC rules and regulations pertaining to Trading, Trade Reporting, Securities Offering, Reg SHO, Reg NMS, etc
  • Extensive knowledge and understanding of regulatory system of China Commercial banking
  • Interpret Trading and Booking (Blue Sheet) Data

Skills For Central Office, Regulatory Management Group Resume

  • Knowledge/formal training in formal traceability methodologies and practices
  • Knowledge/formal training in regulation interpretation and impact assessment
  • Knowledge of Target Operating Model development methodology
  • Document the regulatory change requirements and facilitate business, internal IT and external suppliers’ teams understanding of those requirements
  • Influence with a wide-ranging audience across front-line, back office and central support areas to gain buy-in to design requirements and development plans
  • Lead and facilitate project workshops, engaging stakeholders, subject matter experts and attendees at all levels

Skills For Senior Specialist, Regulatory Management Resume

  • Develop and own the Target Operating Model for assigned regulatory change
  • Develop processes using process improvement techniques (e.g. Lean) where possible, to encompass all channels, segments, customers, staff and core activities
  • Assist Head of Compliance Risk and Regulatory Relations in managing the overall compliance risks in commercial bank areas
  • Comfortable with trading environment
  • Personal and professional development of self,
  • Personal and professional development of self, and of Line Management report

Skills For Senior Regulatory Management Resume

  • Programme Management – MSP
  • Project Management – Prince II
  • Liquidity Governance: Preparation, review and submission of regulatory deliverables related to Liquidity and Recovery/Resolution Planning, including ILAAPs, CFPs, and the Liquidity/Treasury components of the Firm’s Recovery and Resolution Plans
  • Liquidity Policy: Interpretation and implementation of liquidity policy, oversight of liquidity regulatory returns, and Pillar III disclosures
  • Manage key stakeholders across Barclays UK and the wider Group
  • Secure support of stakeholders/interested parties, both within Barclays UK and external, to achieve goals

Skills For Regulatory Management Center Specialist Resume

  • Motivate and develop members of the Operations Change Management team to shape and implement the operational change portfolio for Barclays Corporate Operations
  • Understand Barclays Group processes & policies and ensure adherence to them
  • Establish & manage the design authority with governance, design change control and impact assessment
  • Develop and own the design principles for assigned regulatory change
  • Liaise with other parts of the business and stakeholders to ensure e2e designs satisfy Regulatory/business/customer strategy (i.e. operational effectiveness, cost efficiencies etc.) and align to Group operating models as appropriate
  • Identify key efficiency improvement initiatives through the evaluation of information and performance data using process improvement techniques, linking these to the improvement of the customer experience
  • Identify key business change opportunities and gain sponsorship to initiate and undertake specific pieces of work to address issues

Skills For Corporate CIO Treasury Liquidity Regulatory Management Executive Director Resume

  • Manage workload independently proactively raising issues and risks for management attention Ability to manage workload independently proactively raising issues and risks for management attention Ability to manage workload independently proactively raising issues and risks for management attention
  • Facilitate senior management level forums / stakeholder relationships Ability to facilitate senior management level forums / stakeholder relationships Ability to facilitate senior management level forums / stakeholder relationships
  • Excellent analytical skills with a strong attention to detail Excellent analytical skills with a strong attention to detail Excellent analytical skills with a strong attention to detail
  • Fluent English, written and spoken Fluent English, written and spoken Fluent English, written and spoken
  • Advanced knowledge of Microsoft Office applications (especially Excel, MS Project and Access Advanced knowledge of Microsoft Office applications (especially Excel, MS Project and Access Advanced knowledge of Microsoft Office applications (especially Excel, MS Project and Access
  • Experience of working in a Business Change environment with a focus on portfolio governance and controls and Regulatory deliveries
  • Think holistically, out of the box and critically assess proposed solutions

Skills For CIB & Corporate Risk Regulatory Management Analyst Role Resume

  • Build effective working relationships with and sell ideas to a wide spectrum of groups (loan origination, Debt Capital Markets, product control, technology, business management, quantitative research, risk reporting and etc.)
  • Experience with regulatory interpretation and regulatory applications/submissions
  • Appropriate professional accreditation in the Group’s mandated methods and tools for strategic Business Change
  • Can deal with high pressure work and multiple tasks
  • Provide meaningful conclusions on Internal Audit’s coverage for issues raised by regulators and coordinate the identification of continuous improvement opportunities in the audit process

Skills For Regulatory Management Business Analyst Resume

  • Provide conclusions on thematic concerns raised by regulators and trending results to facilitate risk-based audit coverage among audit teams
  • Be responsible for the business change design for assigned regulatory programmes for Barclays UK
  • Maintain the team’s regulatory contacts list
  • Maintain records of examinations in the firm’s system of record (ROSE)
  • Be responsible for the identification and assessment of regulatory risk across DB China Inc
  • Advise Business and Infrastructure management and other related departments of key regulatory risks
  • Prepare, implement the annual DB China Inc Compliance Plan

Skills For VP Regulatory Management Group Resume

  • Ensure proactive and positive communication with CBRC, SAFE, PBOC and other regulators
  • Ensure the implementation of local regulations/rules across DB China Inc in co-ordination with other departments
  • Coordinate the implementation of DB internal policies in DB China Inc
  • Pay close attention to ethics and business issues
  • Coordinate and support regulatory inspections on DB China Inc

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