Senior Analyst Regulatory Resume Sample

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Olga Ryan
538 Crooks Brook,  Los Angeles, CA
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Work Experience

Senior Regulatory Adherence Analyst
08/2015 - PRESENT
Boston, MA
  • Research and address instances where firm’s policies regarding communications with the public are not being followed
  • Educate home office staff regarding communications with the public and public appearance
  • Assist management with research and response to regulatory inquiries regarding communications with the public from vendors and home office
  • Educate advisors, financial institutions, and home office employees regarding communications with the public
  • Assist with research and response to regulatory inquiries including branch exams regarding communications with the public
  • Escalate items to Marketing Regulatory Review Management in a timely manner when necessary
  • Acting proactively to identify any potential issues
  • BA/BS in Healthcare, Business or Legal required
Senior Analyst, Regulatory Oversight Reviews
03/2012 - 02/2015
Philadelphia, PA
  • Department data gathering and metrics reporting
  • FINRA filing of marketing materials and follow up
  • Research and compile requested information for regulatory requests
  • As necessary, analyze marketing materials and other forms of communication with the public and provide principal approval or instructions to change the material in order to provide approval
  • Positions in this function monitor changes to laws and regulations to ensure compliance with State & Federal laws, regulations and mandates
  • Provide additional guidance on regulatory rules as they apply to supervision and the firm’s supervisory structure
  • Establish and maintain good client relations, and demonstrate solid understanding of the client’s business
  • Conduct effective interviews with senior executives, management and other staff in obtaining an understanding of client’s business
  • ​Excellent interpersonal, written and verbal communication skills and competence with office software applications are essential
Senior Regulatory Compl Analyst
05/2005 - 01/2012
Los Angeles, CA
  • Competent knowledge of operations, procedures and policies of assigned business units
  • Deliver meaningful results in a high-paced environment
  • Anticipate work, plan, organize, and carry out responsibilities with professionalism and confidentiality
  • Collaborative working style with the willingness to listen to all viewpoints
  • Consolidate information from variety of sources, interpret and present information clearly and concisely
  • Can identify and use analysis techniques that quickly identify process gaps and can identify tactics that can be immediately applied to improve the business processes
  • Take initiative and demonstrate creativity, self-motivation, enthusiasm, and intellectual curiosity and is able to lead by example
  • Summarize and interpret legal research under the guidance / oversight of an attorney
  • Responsible for entering and maintaining SAS’s Global Trade license records into various systems


Waynesburg University
2001 - 2005
Bachelor's Degree in Computer Science

Professional Skills

  • Strong problem-solving skills combined with excellent verbal and written communication skills
  • Strong writing/documenting skills to assist with training, policies and procedures, risk assessments, etc
  • Strong Communication and leadership skills to interface with internal levels of management and external customers
  • Demonstrated experience preparing training materials and conducting education or training sessions throughout the organization
  • Leadership skills such as coaching and relationship building
  • Experienced in multi-tasking and setting priorities
  • Experience with working within a healthcare or government environment with experience in compliance /regulator

How to write Senior Analyst Regulatory Resume

Senior Analyst Regulatory role is responsible for research, software, government, reporting, training, leadership, security, finance, securities, procurement.
To write great resume for senior analyst regulatory job, your resume must include:

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

Contact Information For Senior Analyst Regulatory Resume

The section contact information is important in your senior analyst regulatory 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 Senior Analyst Regulatory Resume

The section work experience is an essential part of your senior analyst regulatory 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 senior analyst regulatory responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular senior analyst regulatory position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Senior Analyst Regulatory resume experience can include:

  • Excellent written and oral communication skills with the ability to interact effectively and professionally with all levels of the organization
  • Strong presentation skills; intermediate level of proficiency with word, power point
  • Demonstrated ability to handle a high volume of tasks and projects effectively and under strict deadlines
  • Build and manage internal relationships effectively with control partners
  • Possess project management skills to lead key business projects
  • Knowledge and prior experience in supervision of dual registrants investment advisory wrap fee programs

Education on a Senior Analyst Regulatory Resume

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

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

  • Excellent written and verbal communication skills, with the ability to energize, mobilize, and influence through effective working relationships with all levels of internal and external constituencies
  • Demonstrated experience working in a geographically distributed matrix organization
  • Intermediate Microsoft skills including PowerPoint, Excel, and Word
  • Ability and confidence to communicate directly and effectively with key decision-makers
  • Proficient PC Skills – Word /Excel/Power Point/Internet methodologies
  • Experience working with Medicaid/Medicare Contracts (reading and understanding contracts)

List of Typical Experience For a Senior Analyst Regulatory Resume


Experience For Senior Regulatory Adherence Analyst Resume

  • Basic understanding of the ITAR and EAR rules and regulations, with experience conducting audits
  • Strong understanding of Microsoft Office application, especially word and excel
  • Total professional experience
  • Background and proven competency in Data Entry
  • Self-starter who can develop effective relationships with internal customers
  • Team player and self-starter with the ability to work independently and prioritize work

Experience For Senior Analyst, Regulatory Supervision Resume

  • Work with Business Intelligence and HCE business partners to develop, validate and implement solutions
  • Understanding of FINRA, SEC and state regulations
  • Ensure Compliance to Records Management Operations Manual and its requirements
  • Interfacing with the SAS Export License and Compliance Advisors/Managers on a daily basis, as well as the Global Trade Organization (GTO) and the Raytheon Washington, DC, Licensing Office
  • Meeting on an as-needed basis with the GT Strategic Partners, and their Export Licensing Coordinators (ELCs), to review status of licenses and agreements for their respective programs

Experience For Senior Analyst, Regulatory Oversight Reviews Resume

  • Tracking status of licenses and agreements using D-Trade
  • Ensuring all records are compliant with the International Traffic in Arms Regulations (ITAR) as controlled by the Department of State; the Export Administration Regulations (EAR) as controlled by the Bureau of Industry and Security, Department of Commerce, and Raytheon requirements
  • Provide training to SAS Global Trade personnel pertaining to roles and responsibilities of Authorization management within the Records management process
  • Additional responsibilities related to Global Trade Compliance as required by the Senior Manager, Global Trade Compliance SAS
  • Manage and meet all the deadlines on a daily, monthly and annual basis
  • Ask critical questions to drive resolutions

Experience For Senior Regulatory Compl Analyst Resume

  • Reviewing and analyzing new regulations issued via the enterprise alert system, identifying key issues and determining the appropriate action (e.g., update to existing procedure, issuing a communication, etc.)
  • Use sound judgment and make recommendations based on analysis
  • Provide support and guidance to SNP Business Partners to ensure regulatory compliance
  • Support audit readiness activities and quality process to meet Compliance and Regulator expectations
  • Identify opportunities to influence standardization within SNP Business Operations, and delegated entities as applicable
  • Work collaboratively with Regulatory Adherence team, Compliance and SNP Business to resolve any identified deficiencies and/or corrective actions
  • Work closely with Prudential Advisor field producers and field management to review new investment advisory wrap fee accounts suitability and best interest

Experience For Regulatory Research Senior Analyst Resume

  • Assist with the ongoing monitoring of advisory accounts for various regulatory and firm policy violations and help drive successful resolutions of such violations
  • Conduct outreach calls with clients to determine the clients' understanding of the features and risk associated with their participation in the wrap fee program
  • Identify, evaluate, and mitigate risk in connection with the firm’s registered investment advisers
  • Strong relationship building and management skills; able to work with and manage relationships with a diverse group of individuals, including producers, home office partners and sales executives
  • Subject Matter Expert (SME) and point person for assigned program areas and related questions (i.e Compliance Oversight Reviews and OSJ Examinations)

Experience For Senior Regulatory Permiting Analyst Resume

  • Work with internal and external business partners to develop and complete Risk & Control Self-Assessments (RCSA’s) for program activities
  • Work with business partners in developing controls & on-going oversight monitoring to strengthen assigned oversight programs – Produce oversight reporting as appropriate
  • Act as business advocate and resource for issues/concerns related to applicable regulatory & firm policy
  • Analyze and synthesize data to create and distribute various dashboard reports to key stakeholders on an ad hoc and quarterly basis
  • Analytics is your middle name

List of Typical Skills For a Senior Analyst Regulatory Resume


Skills For Senior Regulatory Adherence Analyst Resume

  • Experience working, updating and revising in SharePoint
  • Experience utilizing and maintaining software products to include Sharepoint, Excel, Word, Powerpoint, and audit, accounting, or finance programs
  • Experience in accounting roles with increasing responsibility
  • Experience facilitating meetings or leading projects with Operations or Healthplan leadership
  • Experience in business, contracts, supply chain, engineering, exports or other relevant discipline
  • Strong writing, communication and analytical abilities
  • Experience performing V-look up's in MS Excel
  • Intermediate level experience utilizing MS Word, Outlook and PowerPoint

Skills For Senior Analyst, Regulatory Supervision Resume

  • Good understanding of US, Canadian and EU regulatory requirements of Quality System
  • Experience with Licensing related to health care
  • Experience working as a Business Analyst
  • Extensive knowledge of Excel and experience compiling data and metrics
  • Compliance and/or investigations experience
  • Experience with statutory and regulatory compliance programatics
  • Attention to detail, effective time management, and ability to exercise initiative and sound judgment to deliver timely and accurate results

Skills For Senior Analyst, Regulatory Oversight Reviews Resume

  • Functional experience in legal, compliance, audit, finance or business/program operations
  • Experience in Supplier Diversity and procurement processes
  • Experience with FAR Regulations and Supplier Diversity Regulations
  • Knowledge and experience in LM procurement process as a subcontracts administrator with internal/external customer interface
  • Experience in Medicaid or long-term care program
  • Experience with Microsoft Excel specific to lookup functions, pivot tables and other basic formulaic functions
  • Six Sigma or Project Management experience
  • Work experience in privacy, compliance or healthcare field
  • Demonstrated working knowledge and understanding of privacy and security laws and regulations

Skills For Senior Regulatory Compl Analyst Resume

  • Work experience in privacy, compliance or healthcare field. Required
  • Experience with complex requirements, regulatory projects
  • Approving and clearing Sanctioned Parties List (SPL) screening hits
  • Understanding of Raytheon Financial Accounting policies and practices
  • Managing and maintaining all electronic and some paper documents in support of license and agreement requests and administration
  • Clearing blocks for Foreign Visitors accessing Raytheon property
  • Tracking and Managing authorizations throughout the process to ensure timely and compliant activation

Skills For Regulatory Research Senior Analyst Resume

  • Providing guidance on policy and procedural matters to assigned territory and managing relationships with assigned members of field management
  • Refining compliance controls in collaboration with business partners (Compliance, Risk Management, Law)
  • Coordinating qualitative research initiatives and present formal recommendations to management
  • Leading efforts to develop new or revised processes/procedures for the assigned business area
  • Developing presentations for key stakeholders
  • Working independently and with management to scope, plan and manage complex project efforts (e.g., divisional, multiple project teams)
  • Developing compliance related communication for the field
  • Developing written supervisory procedures and related communications

Skills For Senior Regulatory Permiting Analyst Resume

  • Supporting the ELCs in the submission of their license and agreement requests to the Raytheon Washington Office in DC
  • Running weekly and monthly reports to ensure compliance and record keeping requirements are being met
  • Assisting with audits and assessments preparations, both internal and external
  • Advanced level of computer and application competency including Excel, Power Point, Word, and relational database management systems
  • General understanding of the areas subject to audit by DCAA at a major contractor location
  • Work independently and multi-task in a fast-paced environment while continuing to maintain a pleasant and composed demeanor
  • Proficiency in SQL, SAS, COGNOS, or other query-writing programs and data extraction application
  • Ensure accurate and compete regulatory reporting data for both internal and external uses

Skills For Regulatory Compl Analyst Senior Resume

  • Identify and analyze universe logic reporting opportunities
  • Identify opportunities to streamline the universe deliverable process, ensuring for both speed of delivery and quality of product
  • An individual who is comfortable communicating with executive leadership
  • Desire to develop a career in Export and Global Trade compliance
  • Project management capability and ability to make hard decisions
  • Possesses knowledge of the Federal Acquisition Regulation (FAR) cost principles, Cost Accounting Standards (CAS), Agency FAR Supplements, and Generally Accepted Accounting Principles (GAAP)

Skills For Senior Quality Regulatory Review Analyst Resume

  • Previous Accounting/Finance experience in multiple disciplines (e.g., program finance, functional-area finance, rates & budgets, material accounting, labor accounting, direct accounting, and overhead accounting)
  • Work well on a team and contribute to the enhancement of Raytheon’s IR/VD procedures, drafting formal analysis and providing training (if required)
  • Experience in trade compliance or similar regulatory field
  • Legal or Regulatory Compliance experience
  • Experience in Internal Audit, Supplier Audit and regulatory audit processes
  • Experience with Medicaid and California Health and Safety Code
  • Project Management and Process Improvement experience
  • Previous experience with adherence regulations
  • Legal Regulatory / Compliance experience

Skills For Senior Analyst, Marketing Regulatory Review Resume

  • BS or BA or equivalent business experience
  • Experience with major defense/aerospace contractor, U.S. Government or law firm
  • Intermediate level of proficiency with Microsoft Word, Excel and PowerPoint
  • Proficient in Westlaw and/or Lexis-Nexis
  • Cross division/Company-wide business knowledge

Skills For Senior Regulatory Privacy & Information Security Analyst Resume

  • Intermediate proficiency in MS Office (Word, Excel and Outlook)
  • ICUE (utilization management system)
  • Knowledge of State and Federal regulations, CMS
  • Use RUP or a standard tool for requirements and use cases
  • Track and update the RAID logs, follow ups
  • Previous experience collaborating with Information Security and Privacy Officers and team members in order to assure compliance with federal and state privacy regulations, including HIPAA, HITECH, CMIA, other state privacy and security laws
  • In depth knowledge of regulations pertinent to the privacy and security requirements in a healthcare environment

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