Regulatory Risk Analyst Resume Sample

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Ebba Connelly
87583 Kemmer Square,  San Francisco,  CA
+1 (555) 188 2994

Work Experience

Senior Regulatory Risk Analyst
04/2018 - PRESENT
Dallas, TX
  • Tracking all internal projects/activities across Inquiry, Audit action points, actions related to ORI, Surveillance reports, finding from Supervisory Control activities etc
  • Awareness of CAT Regulation
  • Work with IT Team to design new reports
  • Work independently, make decisions and prioritize work appropriately
  • Strong MS PowerPoint, Word, Excel skills
  • Ensures strict confidentiality at all times
  • Desire to work collaboratively to meet team objectives
  • Instilling in business unit leaders and team members a sense of ownership of Commerce Bank’s HMDA compliance responsibilities as well as our related internal control structure
Regulatory Risk Analyst
12/2015 - 03/2018
Houston, TX
  • Assisting in the development of and sustaining HMDA-related policies and procedures as well as appropriate internal controls on a loan-by-loan basis
  • Collaborating with the HMDA Coordinator and line of business contacts to ensure loan files are properly & uniformly documented
  • Performing routine, detailed reviews of loan documentation to ascertain accuracy of HMDA data collection
  • Ensuring timely completion of HMDA data verifications on monthly, quarterly, and annual basis
  • Consistently applying HMDA data element business rules and logic while exhibiting sound, accurate, and consistent judgment
  • Completing testing/validation of HMDA data as well as reporting results, and assisting in the reporting to the respective business line, and CBI management. This includes on-going tracking and timely completion of necessary testing/validation and corrective actions
  • Thoroughly documenting HMDA quality assurance activities in prescribed and consistent
  • Prepare support for management’s analysis and presentations related to Basel, RWA (risk weighted assets) and CCAR analysis
Privacy & Regulatory Risk Analyst
10/2011 - 08/2015
Detroit, MI
  • RWA Statement of accountability (SOA) is function of Risk governance group that looks after the Exposure and RWA analysis, and builds a strong control environment that helps manage the Actual capital ratios for Citi’s Institutional Client Group (ICG)
  • Maintenance of the existing internal risk model approvals / regulatory permissions, including management of the process of gathering the information required across key areas (incl. Risk Management, Model Validation, Risk Analytics, Finance, Operations etc) for regular mandated reporting packs and responses to PRA letters with pre , and post visit requirements and questions
  • New ad hoc regulatory applications, e.g. new IMA applications: shaping the applications in line with regulatory requirements and management of the coordination including the interaction with key areas (incl. Risk Management, Model Validation, Risk Analytics, Finance etc) to ensure deliverables for the application are put together, as required by new Regulation and in a timely manner
  • Ad hoc regulatory requests for custom data and custom analyses and reports: management of the process of information gathering from all relevant areas and interaction with them (incl. Risk Management, Model Validation, Risk Analytics, Finance, Operations etc), as required, to ensure deliverables are put together, as specified by Regulator. Ensure timely delivery to the Regulator
  • Risk model governance under FRTB
  • Develop portfolio of recommendations, communicate performance adjustment action to varied stakeholders, and influence decisions to align with heightened standards
  • Manage complex process evaluations across single or varied line of business lines with a scope of multiple risk domains
  • Spearhead multiple strategic risk programs and identify execution risks and recommend alternatives to meet strategic objectives
  • Interact with team members throughout the quality risk program as a leadership role/ mentor to resolve various issues


Friends University
2006 - 2011
Bachelor's Degree in Math

Professional Skills

  • Document the regulatory requirements and provide technical knowledge to facilitate the completion of impact assessments for new regulations and the shaping of Barclays UK’s strategic response to new regulations
  • Define and document the regulatory requirements and controls frameworks/dashboards to demonstrate Barclays UK’s ongoing compliance to the regulator, auditors and business
  • Strong verbal and written communication skills including the ability to distil complex issues into succinct messages
  • Financial services experience, at least 2 - 3 years’ experience of working in credit risk reporting and analysis
  • Keen investigation skills including the aptitude and personality to challenge and arrive at independent conclusions
  • Recruit, retain and manage analyst resources, ensuring they work to common standards. Ensure their knowledge and experience is shared
  • Experience working in an organisation where there is a mix of regulated and non-regulated work, and the ability to judge the boundaries, is also required

How to write Regulatory Risk Analyst Resume

Regulatory Risk Analyst role is responsible for insurance, retail, finance, securities, training, auditing, trading, coding, equities, architecture.
To write great resume for regulatory risk analyst job, your resume must include:

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

Contact Information For Regulatory Risk Analyst Resume

The section contact information is important in your regulatory risk 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 Risk Analyst Resume

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

Representative Regulatory Risk Analyst resume experience can include:

  • Risk Program Execution: Collaborate with various stakeholders to drive risk program forward/ over hurdles by facilitating changes where appropriate, with independence of authority to negotiate risk exposure levels and risk actions
  • Quality Assurance and Completeness: Review quality assurance program/ processes and determine resolution steps or design modifications for quality issues, with escalation and reporting as required
  • To gain a strong communication skill set and negotiating skills when dealing with clients
  • A good platform to enhance credit, market, country risk knowledge and develop strong analytic skills
  • Act as mentor and exhibit solid leadership skills
  • Leverage strong business process orientation and facilitation skills necessary to work with multiple partners and lines of business

Education on a Regulatory Risk Analyst Resume

Make sure to make education a priority on your regulatory risk 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 risk 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 Risk Analyst Resume

When listing skills on your regulatory risk 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 risk analyst skills:

  • A strong ability to communicate both verbally and in writing
  • Experience in the investment management business in general and regulatory compliance area in particular
  • An in-depth understanding of the calculation of PSE for trading book products and legal agreements supporting trading book products
  • Conduct trending analysis to identify issues not seen through other business monitoring
  • Influence with a wide-ranging audience across front-line, back office and central support areas
  • Lead and facilitate workshops, engaging stakeholders, subject matter experts and attendees at all levels

List of Typical Experience For a Regulatory Risk Analyst Resume


Experience For Privacy & Regulatory Risk Analyst Resume

  • Experience in related field
  • Assist in supporting and sustaining CBM’s first line of defense program
  • Assist with selection of or select files for QC review following investor guidelines
  • Document review by completing checklists to determine if the applicable investor requirements were met
  • Perform monthly QC reviews of conventional, FHA, and VA loans for compliance to investor guidelines, regulatory compliance requirements, and bank lending policy and procedures

Experience For Wholesale Credit Risk Rwa-regulatory Risk Analyst Resume

  • Recalculate monthly income and debt, income to debt ratios, loan-to-value ratios, and verify the borrower had sufficient funds to close with appropriate reserves
  • Ensure field reviews (appraisals) are obtained for a sample of QC files, following investor guidelines
  • Review critical loan data for accuracy of input and compliance/ cross reference documentation with information entered into the Loan Origination System to confirm accuracy and that internal controls are functioning properly
  • Compile results, follow up on resolution of them, and assist with or prepare management reports
  • Ensure documentation is retained as required

Experience For Regulatory Risk Analyst AVP Resume

  • Work with internal Audit and Loan Review as needed
  • Work with external auditors/ examiners/ investors on an as needed basis
  • Meet or exceed Customer Service expectations established by the CBM management
  • Provide constructive feedback to management on suggested procedural enhancements, as needed

List of Typical Skills For a Regulatory Risk Analyst Resume


Skills For Privacy & Regulatory Risk Analyst Resume

  • Previous experience with mortgage auditing or QC review processes
  • Experience in US Regulatory, Trade surveillance activities
  • Mortgage loan auditing or equivalent experience
  • Working with Citi’s middle office and front office to raise and resolve breaks
  • Work with the business to improve control processes for gaps identified through monitoring
  • Understand the front to back life cycle of a trade, ensuring the ability to discuss issues identified with the business as well as technology

Skills For Wholesale Credit Risk Rwa-regulatory Risk Analyst Resume

  • Comprehensive knowledge of the risks associated with trading book products
  • Attractive Social Benefits System (pension plan, medical care, life insurance, digital learning platforms etc.)
  • DE or VA underwriting designation
  • Manage key stakeholders across Barclays UK and the wider Group to achieve common goals
  • Maintain awareness of business process development and change throughout the business
  • As part of the Regulatory Compliance Management Framework, perform various testing on business key controls and high risk regulatory requirements impacting all areas of the business
  • Citi’s organization and systems’ framework

Skills For Regulatory Risk Analyst AVP Resume

  • CFA accreditation is an asset, alternatively, enrollment in the CFA program
  • Excellent working knowledge of FCA rules and their application to insurance brokers and a good understanding of the EU regulatory framework (including IMD and the EU passporting regime), with a particular focus on regulatory transactions and reporting
  • Familiarity with FCA regulations, ICOBS, CASS, SUP, CONC, MIPRU and the FCA Perimeter Guidance Manual (PERG), is essential
  • Relationship management and team building skills so that people work together well, and feel motivated to work hard for the sake of the business and their other team members
  • Think clearly and rigorously, to draw reasoned and logical inferences from proposed regulation or legislation and use judgement to reach robust and practical
  • A good understanding of OTC derivative product structures and pricing and preferable experience in the front office working with the products from a business perspective

Skills For Senior Regulatory Risk Analyst Resume

  • Opportunity to develop analytics and project management skills as well as expand knowledge in the area of Regulatory Risk
  • Experience in risk/finance/product control area
  • Work experience in Finance area
  • Proficiency with Microsoft Office with advanced skill in Excel
  • Interpreting regulatory instructions for the scope of regulatory reports
  • A’ Level or equivalent
  • A chance to develop in an international environment in one of the greatest financial institutions worldwide
  • Knowledge of CWB Financial Group products, services, and processes is beneficial
  • A desire to ensure CWB Financial Group acts in an ethical and responsible manner in its treatment of customers and fellow employees

Skills For Assistant VP, Regulatory Risk Analyst Resume

  • A desire to become a knowledge expert in the fields of privacy, consumer protection legislation, regulatory compliance, and risk management
  • Polished verbal and written communication skills, including consistently positive interpersonal interactions with both internal and external stakeholders, including clients
  • Offer effective challenge to Regulatory responses, providing expert input and recommendations to managing delivery of regulatory commitments
  • Self motivated with a demonstrated track record of initiative
  • Act as a trusted subject matter expert for Group-wide Regulatory control issues, working across multiple business lines and horizontal service functions
  • Opportunity to broaden the practical knowledge
  • Coordinate quality assurance reviews of regulatory analyses undertaken by legal and compliance stakeholders to ensure suitability for impact assessments to proceed

Skills For AVP Regulatory Risk Analyst Resume

  • Develop regulatory rules and requirements for implementation of regulatory change
  • Review business controls against regulatory requirements to demonstrate Barclays UK’s ongoing compliance with the regulations following implementation into BAU
  • Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives. Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas
  • Ensures appropriate documentation is completed. Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management when necessary
  • Identifies potential audit issues and MRAs to ensure timely and appropriate execution by business and risk areas. Communicates those potential issues and the execution plan to the lines of business

Skills For Ccar Rwa Forecasting & Analytics Regulatory Risk Analyst Resume

  • Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations. Participates in business staff meetings to provide an update of status/progress
  • Document and update existing consent order governance procedures to reflect current practices
  • Maintain all procedure checklists to reflect most up to date procedures
  • Create and facilitate governance routines to remove roadblocks, facilitate decision making, and drive initiative execution and issue resolution across functions
  • Coordinate and provide various reporting required by the business
  • Own and maintain the governance team playbook, making required updates when necessary
  • Prepare various types of communication required for regulatory deliverables

Skills For Mortgage Lending Production Quality Monitoring Regulatory Risk Analyst Resume

  • Maintain all consent order documentation records including governance meeting charters, Regulator receipt of communications, required deliverables, and any other related documents
  • Monitor communications relating to initiatives being managed across all businesses
  • Ensure communication of procedures is communicated to stakeholders timely and accurately
  • Partners with Regional Supervisory Officers, Operations and other business units to ensure activity from licensed representatives meet PNCI and governing body policies, regulations and standards
  • Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations. Works in a Team Environment and participates in business staff meetings to provide an update of status/progress

Skills For Mortgage Lending Servicing Quality Monitoring Regulatory Risk Analyst Resume

  • The opportunity to gain a strong product knowledge for Securities Finance trading
  • The role purpose is to clean up Citi’s Agency lending reconciliation with current $900m EAD impact
  • Maintains, and improves upon, CWB Financial Group’s contract administration processes
  • Supports the conduct and administration of the department’s overall regulatory compliance risk management program
  • The opportunity to develop relationship with internal and external front and middle offices

Skills For Emerging Regulatory Risk Analyst Resume

  • An in depth access to Citi systems and processes
  • Proactive identification and improvement of PSE (Pre Settlement Exposure) & PFE (Potential Future Exposure) data quality through analysis of key inputs and indicators
  • Performing daily/weekly/monthly data analysis, project management of data quality improvement initiatives across multiple businesses: IT, Finance, Operations, Front Office etc. Specialising in Over-The-Counter Traded Derivatives (OTC) and Securities Finance Transactions (SFT) products
  • Strong Equities background
  • Providing training and guidance to other team members
  • Opportunity of professional development in risk management reporting area by frequent interaction with various reporting teams and Citi senior risk management

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