regulatory analyst resume example with 5+ years of experience
JessicaClaire
Montgomery Street, San Francisco, CA94105609 Johnson Ave., 49204, Tulsa, OK
H: (555) 432-1000
C:
resumesample@example.com
Date of Birth:
India:
:
single:
:
Summary
Well-qualified administrative professional proficient in registration and billing procedures, facility inspections, impact assessments, and other regulatory processes. Skilled in coordinating applications, reports and supporting paperwork. Outstanding research and reporting experience.
Skills
Quick Learner
Strong written and oral communication skills
Client handling Skills
MS Office Expertise
Strong Accounting Skills
Power BI
Time Management Skills
Due diligence
Risk Management
Research and Reporting
Team Player
Data Management
Innovative and creative thinker
Self-starter & Energetic work attitude
Planning & organizing
Friendly, positive attitude
Experience
Regulatory Analyst, 05/2021 - Current Kabafusion – , MI,
Preparation and submission of FATCA and CRS annual reports for huge portfolios, and delivering the submission reports to the clients
Generating and maintaining weekly Excel KPI reports, and trackers.
Taking care of the complete billing cycle from generating bills to adjusting credits, ensuring timely release of invoices, generating Accounts Receivable (AR) reports to reduce the aging debt, and sending timely follow-ups to all the stakeholders.
Ensuring that there is a smooth onboarding of clients, by setting them up in our internal as well as external platforms like IRS, DITC, and, BVIFARS portals
Performing Due Diligence as per FATCA and CRS guidelines, by analyzing the documents, and approving them for the onboarding classification of account holders under FATCA and CRS guidelines
Keeping clients organized and managed by maintaining an easy two-way open communication, updating the relevant changes in our records, doing timely follow-ups, and updating clients with necessary changes
Ensuring that client's documents are in compliance with the established KYC standards as well as regulatory guidelines and are properly administered.
Delivering not only the training to the new joiners, but also, being a friendly mentor to them.
Taking over various internal/external projects and ensuring that delivery in done in timely manner.
Research Analyst II, 04/2018 - 05/2019 Athenex, Inc. – , IL,
Perform operational and financial research on the portfolios of major refining companies
Transform that research into clear and compelling insight
Support activities of other researchers by producing quick-turnaround analysis and research for publications, consulting projects, and client presentations
Understanding refinery trends and relating them to companies to assess their performance
Monitor company websites, annual reports, SEC filings etc
As part of a team effort, respond to research-related questions from clients by working in a highly collaborative fashion; requires learning the roles and expertise of others on research teams, seeking out help from other colleagues, become familiar with our research products and client request procedures
Gain knowledge and skills by actively contributing to the above listed activities, pursing activities/work in various disciplines, and staying abreast of current/hot topics
Collecting and analyzing financial information of refining and chemical companies
Assess trends, key trigger points and link them to company’s strategic intent
Review internal IHS data sources and work on in-house models
Prepare marketing collaterals and a news briefs for promoting current products
Ensure that client deliverables are of the highest quality and completed according to schedule
Associate Analyst, 09/2016 - 04/2018 Applied Medical Distribution Corporation – , OK,
Assist in Market Research & Engagement Risk Analysis for FTV stakeholders using Excel, reporting on internal tools, and maintaining and updating EY Independence Policy as per the US Securities and Exchange Commission (SEC) and Independence guidelines
Assist in creating projects conclusion, by making financial summary reports for the stakeholders with summarised information about the project
Assist in conducting research using both systematic and qualitative secondary research techniques, from Company websites, annual reports, and SEC
Ensuring completeness, accuracy, and appropriateness of all assigned tasks
Assist in recommending actions by analyzing and interpreting data, making comparative analyses, and raising issues/potential challenges to the project managers at an appropriate time to initiate timely action
Assist in developing, and updating the family tree of organizations on internal platforms of the firm
Assist in generating the forecast portfolios for stakeholders, and keeping them informed about financial dynamics
Assist in applying global investment restrictions to the global partners of the EY, in case of conflict of intere
Decipher complex data and deliver information through effective reporting mechanisms
Management Trainee, 10/2015 - 09/2016 Panasonic Corporation Of North America – , TX,
Tracking corporate actions, applying bankruptcy or merger restrictions of securities and entities
Crucial task of security research finding securities, basic and advanced details on platforms like Bloomberg annual reports and SEC filings also on FINRA and Investment Advisor
Deep analysis of security with all available identifiers, (Lei number share value, parent information etc)
External research for high-value clients related to asset management and the private equity sector; Research Resources used – IAPD (Investment Advisor Public Disclosure); Duns & Bradstreet, FINRA, Audit Analytics, & SEC.
Education
Diploma: Financial Planning and Wealth Management, Expected in 04/2021 - Lambton College - Sarnia, ON GPA: Status -
MBA: Finance & Human Resource, Expected in 06/2015 - MIT College of management - , GPA: Status -
Bachelor of Commerce: , Expected in 06/2013 - Guru Nanak Girls College - Claire, GPA: Status -
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