Regulatory Support Resume Sample

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Quinton Stehr
138 Bernier Spur,  Dallas, TX
+1 (555) 505 1354

Work Experience

Lead Analyst, Regulatory Support
06/2016 - PRESENT
Philadelphia, PA
  • Develop and execute the plan for the completion of the department's regulatory self-assessments across global Regulators
  • Collaborate with the Regulatory Liaison Team to identify and agree rules allocated to the department for assessment
  • Coordinate and consolidate input to Regulatory presentations as required
  • US Lead for COO Op Risk, facing off to regional managers and COO reps in other regions to deliver against their requirements
  • Execute daily quality assurance control routines (KRIs) for CTI’s Quantitative Metrics
  • Execute daily control routines for CTI’s non-Trading activity requirements
  • Presenting a position that’s logical and well thought out
Regulatory Control Support
05/2012 - 03/2016
Detroit, MI
  • Presents a position that’s logical and well thought out
  • Paralegal background helpful
  • Working knowledge of excel and other computer applications
  • Motivated and enthusiastic team player, able to work alone or with others in a fast paced, dynamic environment
  • Sound decision making skills when working independently,
  • Escalate, as mandated, unusual activity or transactions which do not meet the Bank’s AML policy
  • Interact with Deutsche Bank’s internal departments and ensure accurate and timely delivery of services in line with KPIs
  • Ensure that KPI delivery is strictly in line with the Bank’s procedures
Regulatory Support
05/2005 - 02/2012
Philadelphia, PA
  • Ensure that KPI delivery is strictly in line with the Bank’s policies & procedures
  • Outside Business Activities – To monitor DB employee’s Outside Business Activities and check for any conflicts of interest exists between employee’s role at company and his outside business activities and prepare the analysis using internal and external sources to protect company from any reputational, legal, regulatory or compliance risk
  • Preparing MI and Tracking KPI’s and Status updates for senior management
  • Interact with Deutsche Bank’s internal and external clients and ensure accurate and timely delivery of services in line with KPIs
  • Ensure that service delivery is strictly in line with the Bank’s procedures
  • Deliver performance based on process KPI for accuracy and TAT
  • Interact with Deutsche Bank’s internal department to ensure accurate and timely delivery of services in line with KPIs


Clark University
2001 - 2005
Bachelor's Degree in Environmental Science

Professional Skills

  • Strong computer skills with prior experience in systems, including Microsoft Office products,
  • Strong stakeholder management and relationship skills with experience of working at management level within the aviation industry
  • Strong decision making and policy setting skills in a regulated environment
  • Strong interpersonal, communication and team collaboration skills
  • Problem solving skills across a range of areas
  • Strong working knowledge and application of aviation regulations and guidelines including EU regulations and other international regulations
  • Qualified engineer or auditor with strong understanding of compliance monitoring principles

How to write Regulatory Support Resume

Regulatory Support role is responsible for software, travel, insurance, design, reporting, training, securities, finance, collaboration, aviation.
To write great resume for regulatory support job, your resume must include:

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

Contact Information For Regulatory Support Resume

The section contact information is important in your regulatory support 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 Support Resume

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

  • Strong verbal and written communication skills with the ability to work effectively in a complex, matrix organisation or independently as required
  • Record evidence of monitoring & review performed
  • Support the Analytics team and assist in the validation of recommended threshold and scoring changes
  • Support the Project Mercury initiative in regards to validation of the various components of the program as they are completed
  • Strong client interaction and impeccable professional standards are key
  • Proven ability to manage relationships at all levels to help drive forward change

Education on a Regulatory Support Resume

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

When listing skills on your regulatory support 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 support skills:

  • Overall 1+ years of banking operations experience(prior KYC/AML experience would be desirable)
  • Highly motivated and able to work under own initiative, with proven organisation skills and the ability to deliver to set deadlines
  • Experience in processes involving cheque clearing, pay-roll or retirement benefits processing, insurance claims and mortgage processing
  • Experience leading cross-functional activities
  • Strong knowledge of the key regulatory frameworks including, but not limited to, EMIR, DF, FATCA, MiFID II
  • Experience in data management, analysis and producing reports

List of Typical Skills For a Regulatory Support Resume


Skills For Regulatory Control Support Resume

  • Five or more years’ experience with biopharmaceutical process development and quality
  • Experience in GE Healthcare product development or production
  • A pro-active, results-oriented approach with strong drive and initiative
  • Previous experience of JetBrains, TeamCity would be an advantage
  • Some previous experience of Python, JavaScript, ReactJS would be an advantage
  • Strong understanding of operational aspects of commercial aviation is desirable

Skills For Lead Analyst, Electric Regulatory Support Resume

  • Working knowledge of Transaction Monitoring systems, with emphasis on corporate, investment, and commercial banking activities
  • Preparing and Tracking KPI’s and Reporting Senior management
  • Provide meeting minutes within 48 hours of project meeting
  • Support the User Acceptance Testing for the annual approved book of work for AML Transaction Monitoring applications
  • Assist in the documentation gathering for the User Acceptance Test results for all business lines subjected to AML Transaction Monitoring
  • Participate in the testing on specific remedial activities stemming from Group Audit findings and reviews

Skills For Lead Analyst, Regulatory Support Resume

  • Responsible (with the Regulatory Lead) for reviewing the financial performance of the UK entities’ CIB Technology function
  • Employee mentoring program; and,
  • Operational knowledge of USD payment systems, including SWIFT, CHIPS, ACH, and FedFunds
  • A deep and broad understanding of the regulatory environment
  • Global Margin Rules understanding
  • Build and maintain knowledge and understanding of customers’ regulatory requirements
  • Manage the trade and market data quality to ensure analysis and reporting is accurate
  • Develop new functionality as well as enhance previously existing functionality
  • Perform AFC – transaction monitoring on Alerts generated for manual review in Norkom/Smaragd/Mantas as per process steps prescribed in DTP/KOP manuals

Skills For Senior Regulatory Support Consultant Resume

  • Aid and assist in process activities for new hire training, feedback and procedural/updates review
  • Expertise in the medical regulatory field
  • Client oriented, with the ability to communicate at all levels internally and externally
  • A genuine interest in developing a thorough understanding of the business and of Nomuras clients, as well as taking a very proactive approach to the task in hand
  • In-depth knowledge of USP/Eu. Ph. and Code of Federal Regulations (CFR). Working knowledge of cGMP’s
  • Build productive working relationship across Operations, Business, CAOO, Compliance and Audit (internal and external)

Skills For Regulatory Support to UK CIB CIO Resume

  • A broad network of outside counsel and knowledge of ‘where to go’ to get the right legal help when needed
  • Communicate complex, technical legal rules and requirements in layman’s language
  • Organized, target and customer oriented
  • Flexible and service-minded with the ability to be collaborative
  • Take ownership and proactively follow up on issues
  • Work in a team and to work well under pressure in a Front-Office environment
  • AFC AML Operations Associate

Skills For CIB Regulatory Support & Control Analyst Resume

  • Associate / Process Supervisors
  • Monitor and Review Communication and Trade Surveillance alerts generated by system on a daily basis
  • Report exceptions to Hong Kong team on a daily basis
  • Familiarize oneself with the function specific MIS
  • Participate and cross train oneself across different products and activities

Skills For Regulatory Program Support Team Regional Lead VP Resume

  • Responsible for the implementation of regulatory compliance mandates covering the Nomura US entities and provide assistance for the global programmes where appropriate
  • Compliance Monitoring and/or Quality management experience within the aviation industry. This could include experience gained within an operational or regulatory environment
  • Willingness to travel to meet the role requirements on occasion
  • Completion of reports on international team’s request
  • Provide plan design support and assistance related to Transamerica’s prototype, volume submitter and individually designed plan documents both internally and externally
  • Assist in the preparation of documents for testing on various aspects of the AFC TM program, including but not limited to system and technology enhancements / updates, new products / channels implementation including proactive risk identification, communication and escalation

Skills For Assistant VP-audit & Regulatory Response Coordination Support Resume

  • Provide hands on support in the implementation and rollout of AFC TM technology / systems improvements
  • Develop and update regulatory support documentation for products in customers’ regulated
  • Support the Regulatory processes for quant models
  • Work with Quants to ensure additional regulatory reports are generated in a timely manner
  • Coordinate with quants and business stakeholders to help create functional requirements

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