Regulatory Change Manager Resume Yardley, PA - Hire IT People

SUMMARY

Detail - oriented compliance professional with expertise in Internal Audit, Compliance, and Risk Management.
Demonstrated experience providing enhancements to compliance programs, risk management initiatives, assessments, web, and data development.
Proven experience improving organizational efficiency, by implementing and managing cross-functional, innovative compliance solutions that facilitate risk management through all lines of business.
Adept at analyzing complex business functional requirements and execute efficiency.
Skilled in working collaboratively with fast-paced, cross-functional teams, while communicating effectively, advising senior management and adhering to urgent deadlines.

TECHNICAL SKILLS

PROFESSIONAL EXPERIENCE

Confidential, Yardley, PA

Regulatory Change Manager

Responsibilities:

Manage regulatory change management within the effective date timeframes (federal and state law) and oversees the Regulatory Change Management Committee (federal and state law). Works with the business unit risk managers to assess impact, assign ownership, approve amended policies, procedures, job aides, training, risk control self-assessments, and QA testing plans. Review results of QA testing to ensure change was implemented effectively.
Work closely with the business unit risk managers to review and oversee escalated regulatory (federal and state) issues, ensuring that root cause analysis is accurately performed, a remediation plan is approved with a defined date for implementation, is implement, tested and validated and a determination of whether additional action is required to be taken (i.e. look-back, etc. working in connection with Legal) is made.
Review and respond to regulatory inquires and MRA findings

Confidential, Bridgewater, NJ

Senior Compliance Analyst

Responsibilities:

Implemented and Managed the Compliance Request for Proposal (RFP/FRI) process the position the company for new business growth and customer retention.
Developed a workflow, established a centralized intake database and system of record.
Managed the Office of Supervisory Jurisdiction program for all OSJ and Branch locations for the Enterprise.
Ensuring all branch office personnel meet standards and requirements set forth by all governing financial and insurance agencies.

Confidential, Pennington, NJ

Officer, Supervision Analyst

Responsibilities:

Creating, enhancing and implementing surveillance reviews. Gathering, reviewing, investigating and analyzing trade data, complaint language and escalated issues, and contractual oversight.
Appropriately assessing risk when business decisions are made. Overseeing and adherence to Confidential, and governing parties policies and procedures, applying sound ethical judgement in conducting reviews to safeguard the company, and clients.
Participated in escalated ad-hoc reporting requests, special projects, as well as department learning and development of industry trends.

Confidential, Pennington, NJ

Auditor

Responsibilities:

Developed and executed internal audits within various lines of business. Direct, coordinated and test/audit components of the business and functional units, including operational compliance, financial risk and ensure the proper controls mitigate associated risk.
Effectively communicate information related to issues and audit management and operations. Efficiently perform gap analysis of current controls, workflow and procedures. Conduct remediation efforts and and follow up testing to ensure effectiveness.
Draft risk-based audit reports and recommendations to improve control processes to executive management. Developed a strong cross functional partnership throughout the enterprise.
Communicate and educate process owners on the importance of controls, effective controls and front line unit aid in the defense of the controls.