Regulatory Officer, VP Resume

SUMMARY:

EXPERIENCE:

Confidential

Regulatory Officer, VP

Responsibilities:

Maintain comprehensive inventory of supervisory, internal audit and self - identified issues providing oversight and tracking of deliverables in a timely resolution.
Act as point of contact with the FRBNY dedicated supervisory team and the central point of contact for Confidential .
Receive, distribute, and coordinate responses to all regulatory inquiries as well as reportable events.
Manage regulatory obligations related to continuous monitoring meetings, continuous monitoring reports, follow-ups, and other MIS.
Conduct exam post-mortems with the Business Regulatory Coordinators, Business Stakeholders and Senior Management and update the living document, “Exam Best Practices and FAQs.”

Confidential

Office of Regulatory Relations, VP/PM

Responsibilities:

Tracked regulatory examination issues and requests; ensured all deliverables were met in a timely manner.
Created and distributed to senior management monthly reports of all outstanding issues and their respective action plans
Partnered with business contacts to respond to reports and requests from multiple regulatory agencies
Reviewed and validated compliance assessments for 24 individual business areas
Project managed creation of a global collaboration site and repository for all new regulatory implementation projects for the firm

Confidential

Recovery and Resolution Planning VP/PM

Responsibilities:

Responsible for developing Recovery and Resolution Plans per Confidential
This involved interacting with multiple businesses and legal entities, analyzing operational and financial interdependencies, evaluating recovery and resolution actions and drafting relevant sections of the plans
Met on a regular basis with executive and senior management to provide project updates as well as to seek guidance on new regulatory requests
Conducted inter-business meetings with senior management to gain detailed subject matter information for sections of the plans

Confidential

Regulatory Operations Business Analyst (Consultant)

Responsibilities:

Assisted business, operations, compliance and IT in understanding and assessing impact of new business initiatives on regulatory reporting. Input and maintained these product memos on a global SharePoint site for all regions to access and opine on
Coordinated within Regulatory Operations the implementation of industry rule changes impacting trade, transaction and position reporting
Managed and maintained regulatory database of all regulator correspondence inclusive of inquiries, exam findings and Notice of Enforcement documents from which multiple reports were created

Confidential

Project Manager/Release Coordinator (Consultant)

Responsibilities:

Worked with the Data Governance team in the coordination of this release and assisted in setting up users, uploading client documents, reviewing historical files, and running audit reports on SunGard
Created and documented an internal process for the handling of returned K-1s which was then effectively handed over to a Delaware Operations team

Confidential

Project Manager (Consultant)

Responsibilities:

Managed developer royalty reconciliation project at a private gaming company which involved working with the Royalty Accounting department in the creation of game revenue reports in a new template format for upload to a Great Plains database
Reviewed developer contracts to ensure they were current and documented royalty rates and payment schedules into an individual game matrix