Regulatory Reporting Analyst Resume Sample

4.5
20 votes

The Resume Builder

Create a Resume in Minutes with Professional Resume Templates

Lexus Cummings
56502 Leilani Lakes,  Houston, TX
+1 (555) 148 5216

Work Experience


Senior Regulatory Reporting Analyst
08/2017 - PRESENT
Phoenix, AZ
  • By-desk and advisory team monitors the desks’ capital usage versus the assigned targets and support in Advisory related daily tasks
  • Provides interpretive guidance on financial regulatory matters to business units within the firm
  • Provide Overall Support Data Management, Business Intelligence and Data Governance processes for entire U.S. portfolio
  • Support DLL Global DW (DMBI) and Governance process by providing analysis of contract-level risk, finance and liquidity data points for data quality improvement and new data extract development
  • Utilize SQL, TOAD, and/or Qlik to validate, test and perform analysis on data feeds for regulatory reports on a daily basis
  • Leverage business analysis abilities to translate business and technical requirements into usable documentation to support data initiatives
  • Develop, create and distribute Data Quality and Data Governance Dashboards on monthly basis to support progress and status updates
  • Lead Data Quality Working Group meetings to drive progress and deliver solutions
  • Manage and execute critical monthly and quarterly reporting deliverables for Operations, U.S. Risk and U.S. Independent Credit Audit Function
Regulatory Reporting Analyst
10/2011 - 05/2017
Dallas, TX
  • Own the ICV responsibility for RACE including performing legal entity maintenance, calculating and entering of large ticket provision amounts, and verification of individual customer exposures
  • Manage delivery of the Loan Quality Report and proactive portfolio monitoring processes including the Watchlist to mitigate portfolio risk
  • Own Default management processes to maximize default accuracy that is communicated to Corporate Center for Basel compliancy purposes
  • Support annual LGD for EL provisions determination by using existing defaulted portfolio histories and understanding of default process while working closely with the Analytics area
  • Experience specific to the Financial Services and more specifically the Leasing industry
  • Quantitative and data analysis experience
  • Strong conceptual and technical knowledge of legal entity structures
  • Strong technical abilities to liaise with IT to articulate, modify and approve technical project requirements
Corporate & Regulatory Reporting Analyst
02/2007 - 09/2011
Houston, TX
  • Experience validating reports independently and proactively
  • Manage multiple deliverables to achieve agreed upon deadlines
  • Sits within the Barclays International Regulatory Capital Consolidation team who are responsible for reporting leverage, credit, counterparty credit, market and operational risk to internal and external stakeholders
  • Involves supporting the delivery of critical Barclays projects impacting regulatory capital reporting/management, including BCBS239, Structural Reform and enhancing existing reporting services/processes
  • Assist with preparing, compiling, and proofing the bank’s SEC filings, including 10-Qs, 10-Ks, and earnings releases, in an accurate and timely manner in compliance with U.S. GAAP, SEC and other regulations
  • Assist with preparing the bank’s regulatory Call Reports and ensure consistency with other financial statements
  • Project manage the quarterly ‘Request from Information’ from internal bank departments and ‘Prepared by Client’ listings requested by external auditors
  • Assist in the maintenance of XBRL detailed tags for the bank’s footnotes and financial statements. Assist in rolling forward the SEC filings and migrating between taxonomies and determining tags for new disclosures

Education


University of Pittsburgh at Bradford
2002 - 2006
Bachelor's Degree in Accounting

Professional Skills


  • Strong technical skills (i.e. Excel) as well as excellent verbal and written communication skills
  • Excellent communication skills (both written and verbal) and interpersonal skills, dealing with business unit controller teams
  • Excellent verbal/written skills and interpersonal skills
  • Possess exceptional organizational skills and the ability to multi-task. Possess strong analytical and problem-solving skills
  • Outstanding communication skills and interpersonal skills – the work is often team based and requires one to be relationship oriented
  • Strong analytical skills and an ability to work effectively in a team environment to meet tight filing deadlines
  • Excellent prioritisation and organisation skills

How to write Regulatory Reporting Analyst Resume

Regulatory Reporting Analyst role is responsible for analytical, reporting, microsoft, business, advanced, excel, software, analysis, accounting, regulatory.
To write great resume for regulatory reporting analyst job, your resume must include:

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

Contact Information For Regulatory Reporting Analyst Resume

The section contact information is important in your regulatory reporting analyst 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 Reporting Analyst Resume

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

  • Excellent analytical skills focused on problem solving, strategic thinking and data analysis
  • Data mart query skills and data analytical experience desirable
  • Solid analytical skills with attention to details, combined with an ability to deliver analyses in a concise and logical manner
  • Develop a strong knowledge of Company’s systems and tools to utilize them effectively in report preparation
  • Prioritizing and delivering on competing priorities
  • Prior related accounting / regulatory / financial reporting experience (depending upon the role)

Education on a Regulatory Reporting Analyst Resume

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

When listing skills on your regulatory reporting analyst 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 reporting analyst skills:

  • Good organizational, problem solving and analytical skills
  • Compliance experience and/or prior Banking experience
  • Good Microsoft Excel, Access and Powerpoint skills
  • Good verbal and written communication skills in both English and Chinese
  • Strong communication and relationship management skills to liaise at different levels with different functional teams
  • Strong mathematical, analytical and logic skills and the ability to problem solve independently, as well as work in a team environment

List of Typical Experience For a Regulatory Reporting Analyst Resume

1

Experience For Senior Regulatory Reporting Analyst Resume

  • Strong analytical, writing and inter-personal skills are critical to one’s success
  • Demonstrated experience working in a cross-functional environment with medical, engineering, risk management, and regulatory professionals
  • Work effectively in a team environment to meet tight filing deadlines
  • To effectively daily and monthly IB Banking Book RWA
  • Working understanding of US Basel III regulatory rules/regulations and hands on experience with the capital calculations
2

Experience For Operations Regulatory Reporting Analyst Resume

  • Possess solid knowledge and insight into Banking’s regulatory reporting rules and regulations
  • Solid understanding of banking products
  • Experience in public accounting or regulatory reporting of financial institutions
  • Experience of reviewing team members; work and providing constructive feedback preferable
  • Experience in financial reporting, and/or a risk, audit, or accounting position that supports financial functions.
3

Experience For Regulatory Reporting Analyst, Associate Resume

  • Determine best methodology to apply technology using the overall objective of more efficient and effective analyses
  • Related experience in the banking industry
  • Previous Regulatory reporting experience in the preparation of various US Regulatory Reports such as FR Y-9C, Call Report or CCAR 14Q/M
  • Experience in regulatory reporting of financial institutions
  • A strong working knowledge of Excel and Microsoft Office Products
  • Experience in the finance industry (particularly with hedge funds and regulatory reporting)
4

Experience For Corporate & Regulatory Reporting Analyst Resume

  • Demonstrated ability to apply critical thinking and judgment on a daily basis
  • Regulatory reporting experience preferable, not essential
  • Experience of working with an offshore team (ideal, not essential)
  • Proven leadership capabilities and ability to interact with senior management and external regulators
  • Assisting teams with streamlining reporting, identifying potential compliance issues and working with technology partners to facilitate timely solutions
  • Designing, programming, maintaining IT infrastructure necessary for reporting,
  • Ensuring compliance with legal and regulatory requirements for stress testing, reporting
  • Tracking the duration of activities, and tracking and managing any risks and issues that exist in the process
5

Experience For Senior Device Safety & Regulatory Reporting Analyst Resume

  • Performing reconciliations from Hyperion to the capital model, and investigating and resolving differences as required
  • Using Databases and Querying Tools
  • Determining the sources and scope of all data needed for reporting
  • Creating procedural framework for reporting and oversight over it
  • Attending all industry related group calls and reporting all relative information internally
  • Monitoring and analyzing financial data
  • Assessing the impact of regulatory changes in the Leveraged Balance Sheet Reporting space
  • Covering trading restrictions
  • Communicating with management, third-party accountants and other reporting areas
6

Experience For SEC & Regulatory Reporting Analyst Resume

  • Determining the sources and scope of all data needed for reporting,
  • Escalating any issues that arise through reconciliations and reporting
  • Assisting Front Office with regulatory reporting queries
  • Programming solutions in Visual Basic for Applications, PowerShell, R, SQL
  • Communicating to the financial advisers, technology and management related to the disruption in production activity and offer process efficiencies
  • Understanding the business of insurance and the products QBE provides
  • Providing legal advice to business functions
  • Preparing daily, monthly, quarterly and annual statements (balance sheet, income statement, capital adequacy report)
7

Experience For Liquidity Regulatory Reporting Analyst Resume

  • Forecasting costs and revenues
  • Helping to produce external disclosures for the interims and year end accounts
  • Managing the PRA Gabriel submission system
  • Accounting Consistency Credit Risk - application of IFRS 9
  • Assisting other team members as necessary in all production team tasks
  • Providing clear, accurate and well-organized documentation
  • Networking with personnel within the department and across groups to resolve issues and acquire information needed
8

Experience For Regulatory Reporting Analyst VP Resume

  • Contributing to departmental projects
  • Comply with FRA requirements for amending, submitting, or providing forms & supporting documentation for the 3-5 year period following a reporting event
  • Regulatory reporting – EBA and other, design, programming, documenting, supervision and maintenance of reporting solutions
  • Assist users in setting up/executing User Acceptance Testing
  • Technological oversight, designing IT solutions, cooperation with Technology and third party vendors in creating reporting facilities
  • Provide assistance to the Shareholder Reporting unit’s central team by performing any testing and tasks as requested
  • Work with brokers and reporting application vendors to ensure trade matching and proper transaction reporting principles
  • Prepare Takeover Panel Reporting (Hongkang and Singapore), Australia Short Positions Reporting and Federal Energy Regulatory Commission Reporting
  • Proactive in identifying, escalating and resolving potential issues
9

Experience For CBS Legal Vehicle & Regulatory Reporting Analyst Resume

  • Credit risk reporting, regulatory reporting, in particular EBA stress testing,
  • Prepare required banking regulatory reports including supporting schedules for our required Call Reports
  • Assemble, compile, analyze information, and resolve errors/inconsistencies in data from financial reporting systems for the preparation of financial reporting
  • Responsible for providing corresponding explanations and backup to the responsible of the business
  • Liaise with Risk analytics team and assist in implementing test models; contribute to the building of analytics platform
  • Coordinate with internal divisions on any issues regarding the reporting regulatory production
  • Evaluate and integrate new reporting requirements into the reporting process
10

Experience For Regulatory Reporting Analyst Vilnius Resume

  • Technological analysis, design and programming of tools in the SAS Base (SAS 4GL programming language), SAS Enterprise Guide, other SAS solutions
  • Proactively identifies and communicates compliance and regulatory reporting issues and ad-hoc holding disclosure requests
  • Collect, analyze, and interpret program data, while supporting internal reporting requirements
  • Ensure vendors are meeting contractual obligations for data management, data privacy and reporting
  • Be responsible for analysing and assessing the obligation to disclose UBS’s shareholdings and ensure the accuracy
  • An understanding of DTCC, or Markitwire and OTC Transaction Reporting rules would be advantageous
  • Develop an understanding of the trading strategies employed in the front office
  • Assist in understanding the impact and requirements of the evolving and complex regulatory requirements with respect to CCAR
  • Regulatory reporting follow-up in order to rationalize regulatory reporting production throughout the group

List of Typical Skills For a Regulatory Reporting Analyst Resume

1

Skills For Senior Regulatory Reporting Analyst Resume

  • Problem resolution experience requiring strong analytical skills, sound judgment and ability to work effectively with technical and non-technical stakeholders
  • Strong computer skills and knowledge of Microsoft products, specifically Outlook, Word and Excel required
  • Strong computing skills – comfortable with large data sets
  • Demonstrated ability to gather and assess relevant information, using abstract ideas to interpret it effectively
  • Solid written/and oral communication skills
  • Strong communication, organizational and problem solving skills required
  • Compliance experience and/or prior Banking experience is an advantage
2

Skills For Operations Regulatory Reporting Analyst Resume

  • Good communication skills are required as well as a relationship facility in team works
  • Strong technical skills (i.e. Excel)
  • Excellent business analysis/process design skills
  • Apply basic knowledge, skills and experience to resolve a range of issues
  • Lead regulatory reporting to ensure Washington Gas’ Energy Efficiency Programs are running effectively and delivering value to customers
  • SQL, data cube, pivot data handling skills
  • Keen analytical skills with the ability to challenge current processes and develop recommendations for alternate
3

Skills For Regulatory Reporting Analyst, Associate Resume

  • Excel / VBA / Macro skills
  • Capacity to enhance own skills and build knowledge within a team
  • Analytical skills to review information received to facilitate regulatory reporting and obtain business explanation for fluctuations
  • Advanced skills in Microsoft Office Suite: Excel, VBA, Access, PowerPoint; ability to model and create complex spreadsheets
  • Advanced skills in Microsoft Office Suite: VBA, Macros and ability to model and create complex spreadsheets
4

Skills For Corporate & Regulatory Reporting Analyst Resume

  • The ability to communicate effectively with a range of key users, taking into consideration cultural and geographical differences
  • An ability to interact effectively with very senior management
  • Creative issue resolution skills
  • Work effectively to meet tight deadlines
  • Prior experience in financial markets across various products
  • Business analysis skills preferable
  • Juggle a variety of demands and be able to effectively liaise with staff outside the team, such as Equity traders, in-house legal counsel and IT specialists
5

Skills For Senior Device Safety & Regulatory Reporting Analyst Resume

  • Work effectively with colleagues in all three global business units on a day-to-day basis
  • Hands on Regulatory Reporting experience, or Loan Operation experience
  • Related work experience and financial services industry experience
  • Establishing and maintaining good relationships with Regulators, Exchanges, other areas within the Bank and GSP colleagues based in other jurisdictions
  • Running daily reconciliations to validate the data reported to the regulators
  • Experience of working in a challenging and changing environment
  • Experience working on the FR Y-14Q and basic understanding of CCAR reporting and/or credit risk analytics
  • Experience in financial regulatory reporting, accounting, banking, audit or risk management
6

Skills For SEC & Regulatory Reporting Analyst Resume

  • Strong understanding of regulatory reporting and financial analysis
  • Good Knowledge and understanding of the investment banking domain
  • Business Analysis Experience working for banking and financial services clients
  • Good understanding of APAC regulatory reporting templates and report submission procedures
  • Familiarity with complex systems and excellent understanding of the full SDLC lifecycle including both waterfall and agile methodologies
  • Experience in: credit risk reporting or regulatory reporting or stress tests and related
7

Skills For Liquidity Regulatory Reporting Analyst Resume

  • Experience in working on projects and creating playbook / procedure documents
  • Exhibit thorough understanding of data flow end to end, and excellent analytical thinking
  • Experience in: credit risk reporting or regulatory reporting or stress tests and related,
  • Experience of group regulatory or statutory reporting in a financial organisation
  • Use good judgment, confidentiality and discretion in communicating with colleagues and partners
  • Relevant experience in trade support and regulatory reporting
8

Skills For Regulatory Reporting Analyst VP Resume

  • Experience in a financial institution with exposure to Regulatory Reporting
  • Technology experience on Oracle, SQL, UNIX including data analysis
  • Uses discretion and, when appropriate, obtains approval prior to releasing sensitive information. Upholds confidentiality in all aspects of job performance
  • Experience working with clients and management
  • Experience of MiFID or EMIR reporting obligations advantageous
  • Able to juggle many tasks at once under pressure, prioritize such tasks and see each through to completion (the environment is fast-paced and challenging)
  • Experience in the regulatory reporting of a broker dealer
  • Self-motivated and dedicated with a strong performance record of delivering high quality results
9

Skills For CBS Legal Vehicle & Regulatory Reporting Analyst Resume

  • Finance, Accounting, Risk or Product Control experience, preferably at large financial institution
  • Preferable also skilled in Microsoft Excel macros and VBA programming
  • Graduate / 1 year of experience in an investment banking or asset management firm
  • Prioritize, investigate and remediate issues and develop control improvements – working closely with OPER/REG/PJT (Paris and HKG) ORM, Operations and IT
  • Provide recommendations on improvements to reporting process and program effectiveness
  • Relevant experience, preferably supporting various asset classes
  • Strong control awareness and ability to document adequate audit trails
10

Skills For Regulatory Reporting Analyst Vilnius Resume

  • Experience with Operations functions within a financial institution
  • Regulatory experience
  • Depth and breadth of experience within Regulatory Control depts in other banks
  • Experience and/or knowledge of the Key Responsibilities of the role
  • Development of business case for project prioritisation/initiation
  • Work independently to develop, validate and document business requirements and input into solution design where necessary
  • Regulatory reporting experience
  • Experience with adverse event reporting

List of Typical Responsibilities For a Regulatory Reporting Analyst Resume

1

Responsibilities For Senior Regulatory Reporting Analyst Resume

  • Perform maintenance to the FCS general ledger, or successor system, as required: open/close accounts, cost centers, changes to hierarchy structure, etc. Perform annual purge of accounts
  • Report on domestic derivative netting on a weekly and monthly basis measuring variance’s between time periods. Provide communication analysis to Corporate Reporting
  • Good written communication skills and interpersonal skills
  • Prior related accounting / regulatory / financial reporting experience (depending upon the role),
  • Technical skills, specifically in relation to data extraction and manipulation (e.g. SQL, SAS)
  • O Strong, current understanding of banking regulatory reporting rules and regulations
  • Recent college graduate or 1 year experience in financial or regulatory reporting
  • Proven leadership capabilities and ability to interact with senior management
  • Financial experience
2

Responsibilities For Operations Regulatory Reporting Analyst Resume

  • Previous experience with SQL, ability to work with large volumes of data from different sources and knowledge on systems
  • Working with business on any new product reporting requirements
  • Documenting procedures and controls related to reporting requirements
  • Monitoring group mailboxes for regulatory reporting and auditor independence
  • Maintaining tracking files for auditor independence for engagements and fees and periodically complete reconciliation with audit firms
3

Responsibilities For Regulatory Reporting Analyst, Associate Resume

  • Drafting periodic reporting for auditor independence for TIAA management and Audit Committee
  • Working closely with the global LMR team on cross border work items and deliverables
  • Willing to learn and positive work attitude
  • On going development of regulatory reporting and related system enhancements updating documentation and procedures as necessary
  • Ensure that the businesses maintain an appropriate level of reporting with prevailing policies
  • Perform research on changes in regulatory reporting requirements as and when required in a continually changing environment
  • On going assessment of regulatory reporting processes to simplify and improve where applicable
4

Responsibilities For Corporate & Regulatory Reporting Analyst Resume

  • Proficient in Microsoft Excel and Access including formulas, macros, pivot tables, queries and reporting
  • Knowledge of regulatory reporting tools, general ledger, offered products and related activities
  • Review and ensure that regulatory controls are fit for purpose and address current and future regulatory reporting requirements
  • Ensure Reporting concerns are flagged to the business and all actions are followed through to completion
  • Represent the Regulatory Reporting function at business and project management meetings
  • Participation in major regulatory projects that have a business impact, ensuring that changes are appropriately embedded in the business
  • Ensure that an appropriate level of monitoring is undertaken in respect of the core balances of the business
  • Ensure cross training with other team members for all aspects of responsibilities
5

Responsibilities For Senior Device Safety & Regulatory Reporting Analyst Resume

  • Take ownership of the assigned process and address the questions trough the existing area experts
  • Assist with creation and maintenance of Test Cases. Work closely with end-users during the UAT phase of the project
  • Assist in training users on new functionality
  • Provide supporting materials for the team’s regular updates to senior leadership and work cross-functionally on a high-profile regulatory disclosure
  • Global mindset – being able to collaborate with colleagues in Lithuania, Denmark and India
  • Maximize available technologies (Hyperion, BIC, Internal Databases) to facilitate reporting
  • Support to analyze the transaction scheme of loans and leases and identify the appropriate data coding
  • Perform tasks related to new regulatory reporting
  • Knowledge of banking products, i.e. loans, leases
6

Responsibilities For SEC & Regulatory Reporting Analyst Resume

  • Support coordination of monthly/quarterly Regulatory reporting requirements
  • Variance analysis of externally reported information utilizing industry knowledge
  • Regulatory reporting – EBA and other. Preparation of EBA stress tests for counterparty credit risk
  • Counterparty credit risk and other regulatory reporting
  • Complete and distribute daily, weekly and monthly management reporting
  • Quarterly SEC 17H risk assessment reporting
  • Quarterly TD Ameritrade Singapore regulatory reporting
  • Monthly and quarterly reporting to the Federal Reserve
  • Identify ways to improve departmental operations and improve optimal operating efficiency
7

Responsibilities For Liquidity Regulatory Reporting Analyst Resume

  • Support capital planning activities and perform simulation of new products impacts
  • Participation to projects impacting Regulatory department
  • Reviews Invoices or Assessment/Surcharge Reports and codes Check Requests to properly allocate the expense to the Operating Business Units of XL Catlin
  • Providing expertise on TR requirements for Cash Equity Products to the team, acting as centre of process excellence for all F2B processes across relevant asset classes for TR, adhering to rigorous controls to ensure our daily TR obligations are met (i.e. exception management)
  • Trouble shooting and analysis into issues or possible breeches, liaison with Compliance for all Ops related issues; keeping official breeches/ issues logs, fielding data and process queries (internal, external), preparing regular MIS, identifying, rectifying, reconciling data & process issues, maintain TR guidance documents e.g. user guides
8

Responsibilities For Regulatory Reporting Analyst VP Resume

  • Working closely with the Firm’s Global Legal and Compliance teams, particularly with regards to communication of apparent anomalies and in conducting special investigations and responding to regulatory queries from FCA and other Competent Authorities
  • Timely and accurate production of key daily reports – using a combination of existing and newly acquired vendor solutions to internally defined SLA’s (- 3pm)
  • Supporting all London businesses through effective management of regulatory framework changes and timely, accurate PRA reporting
  • Regulatory Reporting experience within the financial services industry specifically knowledge of the PRA capital adequacy rules
  • Experience of working with an offshore team is not essential but would be an advantage
9

Responsibilities For CBS Legal Vehicle & Regulatory Reporting Analyst Resume

  • Knowledge and experience of the PRA Market Risk rules would be an advantage
  • This role is high impact, as global regulatory standards for banks have become increasingly complex and granular
  • Ensuring all UK regulatory reporting is completed and reported accurately in a timely manner. This covers weekly, monthly, quarterly and ad hoc reports to regulators and internal business reporting
  • Perform daily analysis of liquidity position against regulatory requirement
  • Carry out regular reconciliations and reviews and help the Reporting function to devise and close out on corrective action plans. Identify Reporting differences and provide appropriate commentary
  • Oversight of the Branch reporting requirements in France and Germany
10

Responsibilities For Regulatory Reporting Analyst Vilnius Resume

  • Support the business with other reporting requirement as applicable
  • Preparation, review, and submission of the country's other head office reports such as Quarterly Memo cable, CER, FAS107, etc
  • Perform detailed, work in collaboration with business groups to ensure regulatory reports completed and filed within the Regulatory deadline and/or Organization SLAs and in compliance with the accurate entity structure
  • Create / maintain detailed documentation / procedures
  • Initiate improvements to reporting and forecasting capabilities in order to generate meaningful financial data to better serve senior management team and facilitate decision-making
  • Consistently identify and document methods / enhancements to Team processes that enhance the efficiency and effectiveness of required reporting

Related to Regulatory Reporting Analyst Resume Samples

Regulatory Reporting Resume Sample

Work Experience

  •  Assist the Firm’s Regulatory Inquiries Group and Examinations Team with FINRA and SEC Regulatory requests   •  Support the delivery of continuous improvement as part of RAD Team objectives through business analysis, design, development and delivery of complex Microsoft Office, predominately MS Excel a...
Professional Skills

  •  Strong communication skills, both oral and...
  •  Strong Excel skills as well as strong anal...
  •  Excellent communication skills (both writt...
4.8
16 votes

Regulatory Reporting Quality Assurance Resume Sample

Work Experience

  •  On a daily basis, receiving SMBC subsidiaries' active customer lists. Based on the subsidiaries' active customer lists, perform customer ID reconciliation to ensure all active customers are correctly assigned SMBC unique customer ID (SUN). Also investigate whether key customer attributes are correctly assigned in...
Professional Skills

  •  Proven data mining and analytical skills a...
  •  Excellent analytical, problem-solving skil...
  •  Prior experience within Audit or Financial...
4.8
20 votes

Reporting Services Analyst Resume Sample

Work Experience

  •  Exhibit exceptional client service by executing on BB&T’s perfect client experience   •  Serve as a resource for internal staff to resolve technical issues with Sharepoint, TA2000, AWD, SalesConnect, Persistency, etc   •  Support the MS team in their day-to-day tasks for ensuri...
Professional Skills

  •  Experience in a global FMCG, shared servic...
  •  Experience in a global FMCG or similar dyn...
  •  Develop QPR forecasts and budget using pla...
4.6
17 votes

Talent Relations Resume Sample

Work Experience

  •  Strict attention to detail and a strong follow-up required   •  Effectively prioritize with strong time-management skills   •  Oversee all non-editorial standard business communication to DCE’s talent pool announcing company news, updates to policies and procedures, or requesting i...
Professional Skills

  •  Prior casting office or talent relations i...
  •  Computer skills required ~ Excel, Microsof...
  •  Prior experience with social media managem...
4.9
12 votes

Regulatory Office Resume Sample

Work Experience

  •  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 &n...
Professional Skills

  •  Provide informed skill set to deliver chan...
  •  Post graduate education in business or a r...
  •  Effectively communicate and/or escalate is...
4.9
9 votes

Regulatory Risk Resume Sample

Work Experience

  •  Detailed business analysis/requirements definition across our data and core capabilities streams of delivery   •  Direct, daily interaction with business & operations reporting SME’s to manage the information flow and delivery of key project milestones   •  Work with Controls a...
Professional Skills

  •  Strong project management skills, proven o...
  •  Strong analytical skills alongside the abi...
  •  Proven managerial skills including setting...
4.5
19 votes