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Regulatory Analyst Resume Example

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REGULATORY ANALYST
Professional Summary

Business professional with significant experience in legal and accounting. Has strong organizational skills, project management experience and results orientation. Work collaboratively within the legal department and across business units. Working experience includes diverse industries including insurance, medical equipment and hospitality. Seeking opportunity to use business, regulatory and leadership skills with an organization in central Alabama. Regulatory Compliance Corporate Due Diligence Research Accounting

Work History
Protective Life Corporation- Regulatory Analyst
Birmingham, Alabama12/2001 - Current
  • Advanced through increasingly responsible positions to current capital markets transactions/filings role.
  • Maintain corporate due diligence filings and supervise one paralegal.
  • Have supported wide range of corporate needs including private placement transactions, debt transactions and mergers.
  • Serve as project manager for most regulatory filings in connection with regulated insurance companies and holding company.
  • Serve on Protective Life's acquisition team – participate in due diligence process, have reviewed documents for 10+ acquisitions and ensured compliance in each state.
  • Work closely with actuaries, accounting, life and annuity leadership and human resources to support smooth transfer of business.
  • Maintain legal records for Protective Life's six captive companies including licenses, filings, regulatory requirements and ensure good standing with domestic states.
  • Manage insurance holding company regulatory filings including drafting and filing in a timely manner.
  • Have managed up to four legal support staff and paralegals; Provide training and support to new hires and serve as subject matter expert on insurance research and department procedures.
  • Build effective relationships and collaborate with Protective Life divisions across the country and parent company Dai-Ichi.
  • Represent Protective Life on trade association calls (e.g.
  • The American Council of Life Insurers (“ACLI”) and Life Insurance Council of New York, Inc.
  • (“LICONY”) – learn about pending legislation and assist attorneys with creating Protective's position on the regulatory matters.
  • Created easily accessible and searchable due diligence files which improved access to requested data.
Bennitt & Bufford, LLC- Litigation Paralegal and Office Manager
Birmingham, AL01/1996 - 01/2001
  • Performed all aspects of legal work and bookkeeping for plaintiff law firm with primary employment law focus.
  • Drafted written discovery requests, motions and pleadings, Rule 26 Initial Disclosures and inspected documents.
  • Interviewed witnesses, took statements, prepared affidavits, deposition summarizations and attorney notes.
  • Assisted clients with periodic corporate paper work, probate work, divorce pleadings, and adoptions.
  • Worked closely with attorney at trial time, preparing trial documents, exhibits, jury books, witness, exhibits, damage listings, witness preparation for trials.
  • Assisted with drafts of jury instructions and jury voir dire.
  • Bookkeeper for firm for 2+ years.
Diabetes Self Care, Inc- General Accounting Supervisor
Roanoke, VA01/1993 - 01/1996
  • Effectively managed day-to-day accounting for durable medical equipment company.
  • Supervised team of 20 through 3 direct reports.
  • Knowledgeable of Medicare, Medicaid laws, regulations and guidelines in billing, processing payments, payment warrants, etc.
  • Responsibilities included general ledger accounting, cash flow/treasury management, supervision of Accounts Payable, Cash Applications (Income Audit), and Order Entry Departments.
  • Processed payroll for three locations, oversaw bank reconciliations and Medicare rebate programs with supply vendors.
Krisch Hotels, Inc- Assistant Comptroller
Roanoke, VA06/1988 - 05/1993
  • Responsible for analyzing company's hotel and restaurant financial statements for accuracy and corrections, Supported 50+ hotels throughout the US and Virgin Islands.
  • Performed comparative analysis of budgeted figures to actual figures, written correspondence on financial and accounting issues to hotel/restaurant management staff.
  • Wrote procedures and policies for hotel properties when new software and equipment was installed.
  • Prepared monthly fixed asset reports and reviewed company's catering companies' monthly financial reports.
  • Negotiated contracts with music licensing agencies (,ASCAP, BMI, and SESAC), reconciled pay per view movie contracts in order for properties to maintain entertainment in hotel lounges.
  • Backed up all areas of accounting as needed including Accounts Payable, Accounts Receivable, Billing, Income Audit, Payroll, and Credit and Collections.
  • Performed procedural audits of hotel and restaurant operations.
Skills
  • Westlaw (statutory and regulatory laws), Lexis Nexis and secondary sources, various time tracking systems including Time Slips; PC: Microsoft Word, Excel, PowerPoint, Outlook; Business: Project Management, Leadership, Training.
  • Accounting, Project Management
  • Accounts Payable, Research
  • Accounts Receivable, Supervision
  • Acquisitions, Treasury
  • Attorney, View
  • Bank reconciliations, Warrants
  • Billing, Westlaw
  • Bookkeeping, Written
  • Capital markets
  • Cash flow
  • Contracts
  • Council
  • Credit
  • Clients
  • Drafting
  • Due diligence
  • Filing
  • Financial
  • Financial and accounting
  • Financial statements
  • Focus
  • General ledger
  • Human resources
  • Insurance
  • Leadership
  • Legal
  • Law
  • Lexis Nexis
  • Notes
  • Mergers
  • Access
  • Excel
  • Outlook
  • PowerPoint
  • Microsoft Word
  • Order Entry
  • Paralegal
  • Payroll
  • Policies
Education
American Institute for Paralegal StudiesSalem, Virginia1994Certificate program- Paralegal StudiesTammy Graham, Resume, p. 2
Virginia CollegeRoanoke, Virginia1988Computer Information Systems
University of MontevalloMontevallo, Alabama1982Bachelor's Degree (B.B.A: Business Administration
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Resume Overview

Companies Worked For:

  • Protective Life Corporation
  • Bennitt & Bufford, LLC
  • Diabetes Self Care, Inc
  • Krisch Hotels, Inc

School Attended

  • American Institute for Paralegal Studies
  • Virginia College
  • University of Montevallo

Job Titles Held:

  • Regulatory Analyst
  • Litigation Paralegal and Office Manager
  • General Accounting Supervisor
  • Assistant Comptroller

Degrees

  • Certificate program- Paralegal Studies
    Computer Information Systems
    Bachelor's Degree (B.B.A : Business Administration

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