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Regulatory Analyst Resume Samples
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0-5 years of experience
- Managed Regulatory Affairs product lifecycle activities for 26 New Drug and Abbreviated New Drug Application (ANDA) products with various dosage forms and packaging configurations.
- Planned, managed, prepared and submitted a full-length ANDA.
- Optimized drug development planning and deficiency tracking systems by adding database and metric functionality that is being utilized across multiple organizations.
- Served as Regulatory representative on cross-functional master change control initiative.
- Trained on eCTD Express and InSight Publisher regulatory submission software systems.
0-5 years of experience
- Developed and prepared data models used to determine the allowable return for company rate cases.
- Supported company rate filings by delivering required data models within the allotted timelines, which ensures an on-time filing of rate cases.
- Conducted “Lead/Lag†studies to determine the required “Cash Working Capital†for various subsidiaries, which results in an additional allowed return in company rate cases.
- Co-authored the company process for determining Cash Working Capital to ensure that the process can be carried out in a consistent and reliable fashion.
- Created and delivered an in-depth presentation to a large audience, explaining the meaning of Cash Working Capital and the purpose of a lead/lag study.
- Maintained clear documentation and audit trails in order to ensure regulatory compliance.
- Verified that accurate and correct depreciation rates were being applied to various company assets, to avoid negative depreciation of those assets.
- Reconciled O&M expense data for all subsidiaries to the general ledger in order to ensure that costs were being allocated in the correct manner.
0-5 years of experience
- Served as the lead energy efficiency analyst for Community Choice Aggregators.
- Assisted the Demand Response Administrative Law Judge with evaluating utility non-residential demand response programs and provided support during the decision writing phase and in managing parties comments.
- Conducted complex analysis on utility compliance filings to ensure compliance with Commission policy and directive.
0-5 years of experience
- Cleared a backlog of six months of unusual market trades within one month, created templates and charts to process the reports, and tracked them on a daily basis.
- Managed all aspects of discovery from a variety of sources to be used in the development of insider trading and market manipulation violations, and then optimized the automation of the process which eliminated four full-time positions.
- Corresponded with numerous member firms, obtained and analyzed relevant documentation, assisted and participated in informal and on-the-record interviews of members and employees when needed.
- Developed and implemented surveillance reviews of conduct in options marketplace, resulting in quantifying market surveillance of options trading, stock equity trading, and insurance products with an over-the-counter trade element, while working across numerous FINRA departments.
0-5 years of experience
- Migrated CFTC regulatory reporting from Chicago to New York offices. Testing, implementation, follow up of new reports from ORACLE to PeopleSoft.
- Daily and month end Futures Regulatory Reporting for FCM to CFTC and CME; CFTC 1.20, 30.7, to CFTC.
- Drafted/wrote procedures for reporting processes at the firm utilizing PeopleSoft, etc.
- 15c3-3 weekly and month end cash and suspense reconciliations.
- Ensured month end reporting and Key performance indicators (KPIs) are prepared with accuracy.
0-5 years of experience
- Place all municipal bond purchases, corporate, treasury, mutual fund, and equity trades.
- Ensure compliance with all applicable regulations, laws, and rules.
- Develop, implement, and revise bond strategies and procedures.
- Maintain and balance all institutional inventory accounts.
- Resolve all not-in-good-order (NIGO) issues generally within one day.
- Significantly reduced company’s TRACE and MSRB reporting violations.
- Reviewed and implemented measures to ensure compliance with Volcker Rule, balancing unrealized
0-5 years of experience
- Obtained Life Insurance and Health Insurance License in the State of New Jersey.
- Offered an array of Life and Health Benefits on the Personal, Commercial, Business levels
- Attained and developed new clients and while maintaining relationships with existing clients
0-5 years of experience
Responsible for reviewing trading activities to detect potential violations of the [company name] exchange rules and federal securities laws.
- Issue formal request for information to members and analyze their response.
- Compile and analyze trade data.
- Determine if matter warrant further investigation and escalation.
- Prepare memoranda recommending disposition of completed investigations.
0-5 years of experience
- Provides support to the policy director and regulatory coordinator by aiding in the facility of the regulatory review process.
- Reviews and analyzes draft regulatory language and supporting rulemaking documentation such as regulatory analysis forms to ensure accuracy.
- Attends stakeholder and advisory committee meetings to understand the effects and implications of policy decisions.
- Drafts briefings related to the review of regulations and provides summary of analysis to the policy director.
- Researches and tracks regulations germane to agency’s mission.
- Participate in workgroups to evaluate and enhance existing DEP policies for public and stakeholder engagement.
- Conducts research to inform policy decision makers on subjects pertinent to the agency’s priorities, such as water withdrawal fees.
- Attends legislative hearings to understand legislative goals and assess their implications on DEP policy.
- Conducted a semester long research project focused around researching cases where the minimum wage was raised to $15 per hour; I also analyzed the implications this would have if implemented on a national scale.
- Analyzed and compiled data from states that currently have marijuana legalized and developed public policy which could be implemented to bring in additional revenue to the Commonwealth and spur economic growth.
0-5 years of experience
- Maintain the company’s regulatory compliance by having intimate knowledge about the laws, regulations, and codes by researching the Public Utility Commission of Texas Substantive Rules and Laws and the Energy Information Administration (EIA) rules.
- Research and analyze legal matters. Create responses to public officials such as the Public Utility Commission of Texas (PUCT) and Better Business Bureau (BBB) by use of good judgement in approving or denying customer claims. Of the 30 Public Utility Commission of Texas complaints assigned to us as a team, [company name] won more than 98 percent of the cases.
- Research,plan and prepare [company name] procedures for the monthly, quarterly and annual Reports.
- Prepare and file monthly, quarterly and annual reports with the Public Utility Commission of Texas and Energy Information Administration.
- Compile, model, validate and analyze revenue and load data needed for business various units.
- Assist with annual and quarterly load forecasting. Provide historic data to determine the direction of future trends to predict the power/energy needed to meet the demand and supply equilibrium.
0-5 years of experience
- Monitor current regulations for compliance with the company’s insurance products
- Assist with administering testing material for new hires
- Create excel documents for tracking and monitoring proposes
- Conduct product filings via government website (Serff)
- Monitor compliance calendar for filing, renewal, and document submission, deadlines
0-5 years of experience
- Responsible for preparing and delivering all aspects of a regulatory rate action
- Served as department liaison in multi-system software integration project
- Participated in department’s internal control initiatives, developing standardized framework to prepare filings
0-5 years of experience
- Apply for Drilling Permits, for Vertical, Re-Entry and Recompletions
- Submit SWD Permits
- Apply for GAU letters.
- Submit P-4, H-15, H-5, H-10, W-2, W-3X, W-3C and other forms to the Railroad Commission of Texas
- Re-new P-5’s for both [company name], & Blue Ridge Resources submit all paper work required
- Handle all Regulatory duties, deal closely with Railroad Commission have built a good report with them
- Schedule H-5 Testing with Railroad Commission and field personal
- Report monthly production to Railroad Commission for both [company name] and Blue Ridge Resources
- Fulfill any project, assignment, and/or duty requested of me to the best of my ability in a timely manner.
0-5 years of experience
- Act in the capacity of Branch Manager for Deutsche Bank Private Bank branches and dual hatted bankers.
- Communicate changes in industry regulations and educate bankers on how it affects their clients and everyday business.
- Compose, edit, and maintain internal policies and procedures.
- Build and maintain positive relationships with branch offices.
- Coordinate with branches and compliance to implement new policies and procedures due to regulatory changes.
- Review all branch correspondence and email communication.
- Review all policy exception requests and determine necessary action.
- Ensure policies and procedures are being followed.
- Managed several situations involving expedient implementation of policy.
- High marks from managers and coworkers on annual employee assessment.
0-5 years of experience
- Develop and maintain Commercial Markets Operations Regulatory Response process
- Monitor, synthesize, summarize, and distribute regulatory guidance from multiple sources(CMS, CCIIO, etc.) to Commercial Markets business units
- Manage weekly Operations Regulatory Committee
- Provide oversight of business owners to ensure regulatory response process is upheld
- Develop and maintain regulatory response SOPs and process flows
- Provide summary, trend and other reports to team in supporting ongoing development and revisions and maintain appropriate distribution lists, save documents for department wide access and update/distribute related reports
- Prepare reports as needed
- Monitoring of laws and regulations
- Draft business unit response to proposed legislation
Compliance Cover Letter Examples
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Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
