Regulatory Office Resume Sample

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Erik Stark
44637 Witting Passage,  Dallas,  TX
+1 (555) 996 4293

Work Experience

Control Office Regulatory Group Lead
02/2017 - PRESENT
San Francisco, CA
  • Drive & manage improvement programs for regulatory reporting control, including understanding the existing issues, identifying the root cause and implementing remediation
  • Follow the escalation protocols for regulatory breach incidents by organizing debriefing meeting, Phoenix/FORCE uploads
  • Oversee key risk indicators: investigate and escalate
  • To develop and lead the NY local trade/transaction Reg MO team in the day to day process and controls supporting Trade Reporting (i.e. OATS, ACT, TRACE, Short Interest, Large Trader Reporting, Large Option Position Reporting)
  • Support and implement a Global Reg MO controls and governance framework and streamline processes across the different regions (New York, London, Hong Kong)
  • Support the monitoring of daily processes for regulatory reports: exception management/reconciliations
  • Support, deliver and facilitate the creation of Management Information Packs via Power Point presentations
Front Office Modeling Infrastructure & Regulatory Affairs Strategist
04/2013 - 11/2016
Dallas, TX
  • Maintain oversight of forthcoming regulation and associated impacts on trade/transaction reporting pertinent to the Reg MO
  • Provide information and assistance to the business when changes are required by the regulators
  • Educate the business on the reasons behind Trade reporting
  • Work Closely with Compliance, IT and Operations to deliver projects on time and to a high standard
  • To manage ad-hoc reporting projects as they occur
  • Build and enforce strong governance models by product and by entity
  • Assist in implementing a robust quality assurance testing program across trade
  • Support senior leadership in executing JPMC's regulatory strategy
Regulatory Affairs Office Coordinator
11/2007 - 10/2012
Boston, MA
  • Assist team members on a wide variety of critical regulatory analysis projects
  • Experience in diverse business roles – e.g., revenue generating roles, program management, audit/compliance, managing staff functions
  • Editing informed consent documents
  • Correspondence with the IRB, investigators and sponsors throughout the clinical trial process
  • Maintenance of regulatory binders and other relevant files during the review, approval, and activation process for Clinical Trials
  • Coordinates Review & Processing of Safety Reports to the IRB
  • Manages and possibly reports Adverse Events & Deviations reported to the IRB and Sponsors
  • Participates in monitoring visits as requested by Sponsors and makes data corrections as required by Monitor


Upper Iowa University - Madison Center
2003 - 2007
Bachelor's Degree in Management

Professional Skills

  • Provide informed skill set to deliver change initiatives directly relating to changes in reporting requirements. E.g. SEC, CFTC rewrite & CSA
  • Post graduate education in business or a related field; or commensurate work experience
  • Effectively communicate and/or escalate issues or key risks to leaders within CCO and across BCUS as applicable
  • Track multiple priorities simultaneously and actively participate in multiple forums
  • Help create strong control environment where regulatory issues are identified quickly
  • Accountable for overseeing and monitoring correct reporting for multiple asset classes
  • MBA, CPA, FRM or equivalent designation is an asset

How to write Regulatory Office Resume

Regulatory Office role is responsible for reporting, events, research, design, trials, analysis, documentation, scheduling, testing, maintenance.
To write great resume for regulatory office job, your resume must include:

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

Contact Information For Regulatory Office Resume

The section contact information is important in your regulatory office 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 Office Resume

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

Representative Regulatory Office resume experience can include:

  • Support end-to-end regulatory exam management, including meeting scheduling, organization of document productions, responding to regulatory requests for information, and drafting meeting summaries
  • Build relationships with all primary regulators and examination staff
  • Completion and submission of clinical trials amendments to the IRB
  • Manages and possibly report Adverse Events & Deviations to the IRB and Sponsors
  • As part of the front office team, reg strats have ownership of the pricing library. While it is not their primary responsibility, Reg strats can amend and improve the pricing models when required
  • Have a global follow-up of regulatory projects in the UK,

Education on a Regulatory Office Resume

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

When listing skills on your regulatory office 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 office skills:

  • Knowledge of the JPMC technical environment and standards is advantageous
  • Provide control metrics to stakeholders and be able to respond and act on any potential issues
  • Provide oversight of Consumer Protection and/or AML regulatory requirement assessments
  • Responsible to understand and ensure documentation of regulatory and policy obligations across specific BCUS businesses and build out applicable E2E control oversight
  • Ensure the ERMF (Enterprise Risk Management Framework) and related Group policies are effectively implemented and maintained in accordance with frameworks and standards
  • Establish strong relationships with BCUS leaders in order to effectively collaborate and shape the overall control strategy for specific businesses

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