Regulatory Risk Manager Resume Sample

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Uriah Cruickshank
713 Hessel Ford,  Chicago, IL
+1 (555) 626 5735

Work Experience

Regulatory Risk Manager
10/2015 - PRESENT
Dallas, TX
  • Determine the current state of data, business processes and controls in target markets; drive data quality improvements and process efficiencies through standardization and automation
  • Support migration to local MIS processes to global solutions
  • Build partnerships to support continuous improvement of both regional and local processes, and global solutions alike
  • Familiarity with stress testing methodologies such as CCAR
  • Form a close partnership across stakeholders in Finance, Bank Regulatory, Audit & Compliance, Technology and Risk Management teams to assist in responding to regulatory requests and MRA’s that relate to equity investments
  • A broad understanding of the equities business
  • An understanding the industry views on the regulatory landscape and the regulatory concerns of the equities client base would be beneficial
Regulatory Risk Manager Market Risk
06/2010 - 09/2015
Chicago, IL
  • Compliance / risk role or similar regulatory/risk aligned experience would be useful (but not essential)
  • Serve as SME in investigation of root cause of data quality (DQ) problems that cause material exceptions per Risk’s DQ Scorecard
  • Ensure MSPBNA and the Bank’s key outsource provider processes have appropriate controls to mitigate compliance risks
  • Plan and conduct business reviews and ongoing compliance monitoring for the Bank’s products to ensure compliance with regulations
  • Develop and perform mortgage loan compliance review routines to evaluate adequacy of procedures implemented by management
  • Maintain appropriate documentation supporting review conclusions and report results to management in both written and verbal presentations
  • Assist in the development of procedures and processes as required as a result regulatory review observations
  • Liaise with compliance representatives to address issues observed during compliance review and ongoing monitoring routines
VP, Regulatory Risk Manager
06/2007 - 02/2010
Boston, MA
  • Assist Regulatory Risk Group management with special projects as required
  • Oversees and executes 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 some review and oversight of reporting by risk area on compliance validation, control framework and risk profiles
  • Identifies and acts on known and 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
  • Participates in regulatory and audit meetings as appropriate to provide guidance and subject matter expertise. Typically includes participating in business staff meetings and various risk committees as appropriate to provide an independent assessment of status/progress
  • Interacts with senior management, as well as auditors and external regulators, in their role of monitoring the execution of regulations. Participates in business staff meetings and various risk committees to provide an independent assessment of status/progress
  • Holistic understanding of the various Citi risk processes and functions
  • Strong familiarity with regulatory landscape facing EU banks
  • Ideally, have worked in an international bank, regulator or professional services firm


Washington State University Vancouver
2003 - 2007
Bachelor's Degree in Finance

Professional Skills

  • Excellent reading, analysis, writing, and listening skills
  • Good interpersonal skills that demonstrate the ability to handle complex interactions and reconcile differing views
  • History of Strong Technical skills and ability to communicate with Developers
  • Possibility to enhance Risk product knowledge and develop strong analytical and IT skills
  • Compliance related work experience or 10+ years banking experience with equivalent technical knowledge
  • Compliance related work experience or 10+ years banking experience with equivalent technical knowledge
  • Advanced MS Office skills; Excel, Access, Project, Visio, Power Point, Word

How to write Regulatory Risk Manager Resume

Regulatory Risk Manager role is responsible for risk, retail, finance, credit, securities, training, integration, java, equities, architecture.
To write great resume for regulatory risk manager job, your resume must include:

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

Contact Information For Regulatory Risk Manager Resume

The section contact information is important in your regulatory risk manager 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 Manager Resume

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

Representative Regulatory Risk Manager resume experience can include:

  • Development of leadership skills
  • Good understanding of the current regulatory reporting guidelines, and latest trends
  • Develop as SME for Citi Model Validation and participate in testing activities
  • Act as interface with Internal Audit during validation activities and engage business stakeholders as required
  • Relevant experience in consumer banking business or financial service control, compliance, audit, or regulatory management
  • Establishing and managing project routines to monitor project progress

Education on a Regulatory Risk Manager Resume

Make sure to make education a priority on your regulatory risk manager 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 manager 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 Manager Resume

When listing skills on your regulatory risk manager 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 manager skills:

  • Solid experience in team coaching
  • Good understanding of Luxembourg and European risk management requirements and prior exposure to UCITS and AIFs
  • Solid process management/workflow improvement experience
  • Ongoing analysis on the effectiveness and impact of current and proposed regulations for the business line functional areas
  • Experience implementing and/or managing data governance frameworks
  • Experience implementing and/or managing data quality systems, processes, and controls

List of Typical Experience For a Regulatory Risk Manager Resume


Experience For Regulatory Risk Manager Market Risk Resume

  • Manage analysts, including workload distribution, training and development of staff to ensure that the team provides a superior level of customer service
  • Project Management/Oversight/User Acceptance Testing
  • Maintain project plan updates as well as coordinating technology on updates on regular interim basis
  • Organizational savviness with ability to expand internal network across functions in countries in across the globe, various levels of seniority
  • BA in Business, Finance or Economics or related field
  • Schedule and lead meetings across multiple business lines
  • Responsible for related communications

Experience For Large Corporate Regulatory Risk Manager Resume

  • Coordination with business tams and various technology teams
  • Experience in project management practices or related responsibilities (operational change management, reengineering) in a financial services institution is required
  • Create business requirements, review and approve functional requirements
  • Schedule and lead meetings across multiple business lines and provide guidance on the system usability
  • Serve as system SME in discussion with all business stakeholders
  • Provide guidance on how system usability can be improved both to business users and Technology partners
  • Ad hoc deliverables related to project plan
  • Participate in Audit sessions as needed
  • Involvement in the identification, documentation and reporting of all issues, the review of operational incidents logged in the tailor-made risk reporting tool, the oversight of the NAV calculation errors and investment breaches, the follow-up and tracking of risk mitigation and action plans

Experience For VP, Regulatory Risk Manager Resume

  • Implementing the Risk and Liquidity Management Policy: To ensure T. Rowe Price (Luxembourg) Management S.à r.l. (the “Management Company”) complies with regulatory requirements and internal policies for all comingled products distributed outside the United States
  • Understanding regulations related to Investment Risk, improving the content and process for producing the risk reports, and working with the Investment Risk IT team to implement and change investment risk reports
  • Responsibility for Luxembourg domiciled products (UCITS and AIFs), Australian Trusts, Hong Kong registered funds, UK OEICs, segregated mandates / accounts, etc
  • Effort to continue to develop and improve our risk management framework and Risk and Liquidity Management Policy for our UCITS/OEICs and AIF funds
  • Participating in the risk monitoring effort outside of the US: As part of the Enterprise Risk Management team in International, assist on projects related to EMEA
  • Assign team resources appropriately to issue resolution
  • Respond in a timely manner to ad-hoc requests from external regulators, Front Office, Financial Control, Credit Risk Management and FRI Management

Experience For Regulatory Risk Manager, VP Resume

  • Leading monthly data analysis of critical risk attributes/factors being reported to US Regulators (NFA reporting) - including USCON data reconciliation before Citi submission
  • Review Weekly comments for FED (Gross Current Exposure, Net Current Exposure, Collateral Posted in Excess, Variance Analysis for FED Top 50 Counterparty Reporting)
  • Experience in financial institution
  • Assemble evidence and document narratives for submission to Internal Audit
  • Documenting and maintaining regulatory relations internal procedures
  • Interacting with the key business and functional stakeholders to outline key actions and deliverables
  • An in-depth understanding of PFE Exposure calculation for trading book products

Experience For Global Payments Regulatory Risk Manager Resume

  • Support ongoing routines such as record keeping and required business communications
  • Responsible for providing variance analysis results to Internal Risk Management on a daily and monthly basis
  • Review UAT results for project implementation of issues identified to ensure data quality issue is being correctly addressed
  • A comprehensive knowledge of the risks associated with trading book products specifically Derivatives and Securities Finance Transactions
  • Work on multiple projects with conflicting demand/timelines
  • Monitor the preparation of commentary to be submitted by close of business each day
  • Identification, analysis and stakeholder communication of material month on month changes in OTC/SFT exposure profiles specifically

Experience For Equities Regulatory Risk Manager Resume

  • Timely escalation of issues identified through daily process to ensure resolution of issues before month end numbers become available
  • Analysis and re-engineering of existing business processes and data flows in order to improve data quality and efficiencies, ongoing maintenance of data quality
  • Track the resolution of issues to completion using agreed Service Now and JIRA framework
  • Provide project management support for Consent Order work streams
  • Provide qualitative review of project deliverables to ensure they meet Internal Audit and Regulator requirements
  • Detail oriented, with proven ability to question and identify opportunities within existing processes and business practices by leveraging previous experiences and knowledge of the Consumer business

Experience For Ccar RWA Forecasting & Analytics Regulatory Risk Manager Resume

  • Strong relationship management skills with ability to deepen relationships and build partnerships across the Consumer business and key functional support areas like Internal Audit, Legal, Compliance, Control, and Independent Risk
  • Testing, Risk Management
  • Under the direction of the Delivery Program Governance Lead, work with retail risk leadership teams, global modeling teams, various operations teams, and in‑business/country risk teams across consumer, commercial, Private Bank and ICG lines of business, to oversee specific aspects of data and systems delivery to meet regulatory commitments and to establish the Retail Risk Target State

List of Typical Skills For a Regulatory Risk Manager Resume


Skills For Regulatory Risk Manager Market Risk Resume

  • Experience delivering presentations and running meetings
  • Manage multiple competing priorities within constrained timelines
  • Strong ability to create reports and perform resulting needs for analysis
  • Experienced in data analysis and SDLC lifecycle, testing expertise
  • A proven track record of business analysis and managing technology deliverables
  • Excellent knowledge of consumer compliance regulations and/or ability to read technical material, digest and communicate regulation
  • Self-motivated and solid ability to work independently
  • Perform effective gap analysis on various subjects
  • Coordinating with the CBI Internal Audit group to ensure appropriate transparency with scheduled testing, the testing itself, and respective corrective actions

Skills For Large Corporate Regulatory Risk Manager Resume

  • Coordinating all audits/exams and acting as liaison between business line and auditors and examiners
  • Understanding of Risk Management methods and measures
  • Understanding of Citi systems/technology
  • Provide independent trouble-shooting and problem resolution
  • Knowledge of testing tools/methodologies
  • Order and Execution Workflow and Date comprehension, analysis, troubleshooting
  • Recognize and solve compliance problems timely

Skills For VP, Regulatory Risk Manager Resume

  • Contribute to the development of over-arching strategies for risk information systems, particularly by way of representing needs associated with assigned subject areas
  • Partner with risk process owners, enterprise and risk technology teams to meet program objectives and contribute to the successful closure of regulatory MOU, MRIA and MRA commitments
  • Partner with risk management and enterprise & global consumer technology teams to oversee end-to-end delivery of solutions delivery within assigned scope, with priority focus on program/project management and governance
  • Scope extends across retail risk priority use cases (including retail Basel, CCAR, FDIC, Loss Mitigation) for one or more businesses across consumer, commercial, private bank and ICG lines of business, and across one or more geographies
  • Track project status, proactively manage issues and provide updates to stakeholders through senior management reviews, steering & operating committee meetings and regular project work sessions
  • Ensure requirements and solutions are aligned to, and where feasible accelerate delivery of target retail risk architecture (via the Retail Risk Target State)
  • Demonstrable record of success in a similar capacity
  • In-depth understanding of the end-to-end credit process including: origination, analysis, approval, documentation, collateral management and monitoring, availment, remedial, monitoring and reporting
  • Become a Subject Matter Expert for CCB Lending processes and products, supporting all CitiRisk features

Skills For Regulatory Risk Manager, VP Resume

  • Flexible and fast learning mind-set to keep up with managing a rapidly changing environment. Ability to identify materiality and substance over form, when addressing issues
  • Create and execute project work plans and revise as appropriate to meet changing needs and requirements. Partner with Technology teams for project estimation efforts. Provide project updates and progress reports
  • Perform necessary UAT Support & Coordination activities, including the review of UAT Plans, Test Scripts and Defect Logs, fostering an environment of prompt UAT issue escalation and resolution
  • Recommend optimum approaches for project glide paths by identifying critical path activities, risks and dependencies along with any business process impact from proposed solutions
  • Communicate project progress to the different stakeholders in an effective manner, alerting them of all issues, risks and dependencies that could impact the project's schedule, cost or quality. Alert Management to areas of concern to eliminate bottlenecks
  • Experience in related quantitative field
  • Experience in related field

Skills For Global Payments Regulatory Risk Manager Resume

  • Project/program management and business analyst related experience
  • Experienced in data analysis and SDLC lifecycle
  • Relevant work experience in risk management
  • Familiarity with classifiably and delinquency managed portfolios. Background in Risk/Finance data matching and reporting would be an advantage
  • Maintain a flexible attitude to working in a global team covering different time zones
  • Manage cross-functional dependencies and foster integration and coordination with other related projects
  • Travel as and when necessary as the project demands
  • Considerable knowledge of the business line’s operations, products/services, systems, and associated risks/controls

Skills For Equities Regulatory Risk Manager Resume

  • Design/create required technical use case documents and specifications (WORM data models, surveillance control reports)
  • Communicate and explain functional requirements to both IT and non IT staff
  • Assistance with prioritization, tracking and requirements compilation related to regulatory data requests including creation of required query extract logic and in some cases direct performance of the extract request
  • Use Oracle SQL and Java to create new surveillance control and/or remediate/change existing control reports
  • A global view of the Global Payments businesses
  • Exposures to seniors within Global payments TTS and ICG
  • Acquire internal and external / industry visibility, and develop a network globally
  • Instilling in business unit leaders and team members a sense of ownership of our regulatory compliance responsibilities as well as our internal control structure

Skills For Ccar RWA Forecasting & Analytics Regulatory Risk Manager Resume

  • Developing and maintaining effective policy, procedure, process, and internal controls and ensure effective execution of risk and control procedures on a day-to-day basis
  • Developing, maintaining, and completing testing of business line functions as well as reporting results, recommendations, and corrective actions to appropriate management. This includes tracking and timely completion of necessary corrective actions
  • Consulting Non-Credit Risk Management, including Consumer Compliance, or Legal or Audit on regulatory issues or legal matters
  • Participating as an active member of the CBM Risk Management Committee
  • Facilitating special risk management projects as necessary
  • Actively participating in the implementation of new or changing regulatory requirements
  • Collaborating with the business line Training Manager and functional area managers to facilitate necessary team training, coaching, and evaluation of employee performance
  • Providing ongoing policy, procedure, process, and regulatory compliance technical advice, in conjunction with CBI Compliance. Especially during the development and implementation of solutions to address regulatory compliance requirements

Skills For Mortgage Regulatory Risk Manager Resume

  • Facilitate in coordination of regulatory exams, both internal and external
  • Engage in analysis of large and complex data sets to support Basel RWA Risk Weighted Assets calculations for market risk exposures and support initiatives to automate and reduce operational inefficiencies in market risk processes
  • Reviewing Issue data for completeness and consistency
  • Support other team members working on reporting, testing or training activities in SME role
  • Microsoft Project, Excel, Word, PowerPoint, Visio
  • Project Management responsibilities for Part 30 include
  • Project Management responsibilities include
  • Work with FRA CORA, FRSS and Risk Technology teams to understand the system deficiencies and enhancements, project prioritization and prepare project plans for the Global Default Repository System (GDRS)

Skills For Alternative Assets & Investments Senior Regulatory Risk Manager Resume

  • Rotational support for platforms managed within team under Global Wholesale Program Management (CAT, Facility Management, CDM)
  • Creation and maintenance of team sharepoint (or Collaborate) site ,materials and metrics
  • Works closely with the country local Regulatory Reporting, Finance and Risk teams on timely project delivery and ensures the business needs for local regulatory reporting are met fully
  • Leads by using influence, and building partnership across teams in strategic implementation by aligning with an integrated approach for the utilization of standard and consistent data, and promotes improved, efficient and controlled process and eliminates EUC
  • Exceptional oral communication and writing skills, with ability to synthesize complex concepts, and translate into "user-friendly" language for multiple audiences, including senior management, multiple internal stakeholders
  • Facilitate reviews with senior managers and stakeholders by hosting architecture review, and presentations that demonstrate reporting capability

Skills For Svp Regulatory Risk Manager Resume

  • Enjoys solving complex problem with innovative can-do attitude and keeps positive approach even with temporary roadblocks
  • Engage with business and other stakeholders to articulate business requirements and successfully document them and establish project scope by building consensus across multiple groups
  • Able to navigate through large organizations to streamline and summarize multiple information points; create repeatable process to build consistency in proposed solution for onboarding countries onto a central platform
  • Demonstrated effectiveness in program management roles in transformational financial services initiatives
  • Supporting senior program managers to direct and drive the successful and timely completion of ORM programs to achieve business goals
  • Able to coordinate and participate in User Acceptance Testing along with other stakeholder and ensure timely and quality of deliveries

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