Skills & Competencies for Regulatory Auditing Senior Analyst
Regulatory Auditing Senior Analyst job profile
Book a Demo and Receive a Sample Job ProfileJOB SUMMARY for Regulatory Auditing Senior Analyst
Implements and coordinates an organization's auditing strategy and activities for regulatory compliance.
JOB RESPONSIBILITIES for Regulatory Auditing Senior Analyst
Deploys internal controls, best practices, and strategies to identify process deficiencies and implement improvements. Gathers, analyzes, and consolidates data for required regulatory reporting to fulfill content and scheduling requirements. Supports external regulatory inspections and internal audits and may coordinate document reviews, protocol reviews, validation reviews, and training programs as part of auditing processes. Maintains and updates a knowledge base or information system of the financial regulations, required processes, and industry/regulatory agency standards that govern a business or a product.
Regulatory Auditing Senior Analyst SALARY RANGE
BASE 50%
$99,255
TOTAL 50%
$104,713
Job Level
P03
Job Code
FA06000829
Education/Degree
Bachelor's Degree
Reports To
Manager
Regulatory Auditing Senior Analyst Skills and Competencies List
1 general skill or competency (Job family competency) for Regulatory Auditing Senior Analyst
1
Job Family Competencies –
Training and Development
Proficiency Level -2
Level 1 Behaviors
(General Familiarity)
Compiles a list of risks and challenges in the training and development process.
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Level 2 Behaviors
(Light Experience)
Collects training feedbacks and prepares evaluation reports regarding learning outcomes.
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Level 3 Behaviors
(Moderate Experience)
Assesses training needs to develop a curriculum in support of employee skill development.
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Level 4 Behaviors
(Extensive Experience)
Creates the strategy and oversees the design, development and delivery of training programs to ensure compliance with regulations.
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Level 5 Behaviors
(Mastery)
Champions the adoption of assessment instruments to evaluate learning outcomes.
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3
Regulatory Auditing Senior Analyst
- Skill and Competency
Proficiency Level - 3
4
Skill and Competency -
Regulatory Auditing Senior Analyst
Proficiency Level - 4
5
Competency for -
Regulatory Auditing Senior Analyst
Proficiency Level - 5
8 soft skills or competencies (core competencies) for Regulatory Auditing Senior Analyst
1
Core Competencies –
Process Improvement
Proficiency Level -3
Level 1 Behaviors
(General Familiarity)
Describes the different models of continuous improvement used in optimizing existing processes.
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Level 2 Behaviors
(Light Experience)
Demonstrates open and accepting behaviors when new processes are implemented.
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Level 3 Behaviors
(Moderate Experience)
Executes new approaches in evaluating existing processes that affect workplace productivity.
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Level 4 Behaviors
(Extensive Experience)
Creates models and forecasts to justify and demonstrate the value of an improved process.
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Level 5 Behaviors
(Mastery)
Articulates benefits of process improvement to drive our business in implementing change.
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2
Core Competencies –
Project Management
Proficiency Level -2
Level 1 Behaviors
(General Familiarity)
Cites methods and techniques used for scheduling project deadlines.
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Level 2 Behaviors
(Light Experience)
Adheres to organizational policies to guarantee the project aligns with standards and expectations.
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Level 3 Behaviors
(Moderate Experience)
Analyses new project management tools and methodologies and reports recommendations to management.
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Level 4 Behaviors
(Extensive Experience)
Designs and sets key performance indicators to measure and track the teams' progress.
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Level 5 Behaviors
(Mastery)
Develops and oversees the execution of an adaptable standard operating procedure for projects.
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3
Regulatory Auditing Senior Analyst
- Skill and Competency
Proficiency Level - 3
4
Skill and Competency -
Regulatory Auditing Senior Analyst
Proficiency Level - 4
5
Competency for -
Regulatory Auditing Senior Analyst
Proficiency Level - 5
Summary of Regulatory Auditing Senior Analyst skills and competencies
There are 0 hard skills for Regulatory Auditing Senior Analyst.
1 general skills for Regulatory Auditing Senior Analyst, Training and Development.
8 soft skills for Regulatory Auditing Senior Analyst, Process Improvement, Project Management, Attention to Detail, etc.
While the list totals 9 distinct skills, it's important to note that not all are required to be mastered to the same degree. Some skills may only need a basic understanding, whereas others demand a higher level of expertise.
For instance, as a Regulatory Auditing Senior Analyst, he or she needs to be skilled in Process Improvement, be proficient in Project Management, and be skilled in Attention to Detail.
1 general skills for Regulatory Auditing Senior Analyst, Training and Development.
8 soft skills for Regulatory Auditing Senior Analyst, Process Improvement, Project Management, Attention to Detail, etc.
While the list totals 9 distinct skills, it's important to note that not all are required to be mastered to the same degree. Some skills may only need a basic understanding, whereas others demand a higher level of expertise.
For instance, as a Regulatory Auditing Senior Analyst, he or she needs to be skilled in Process Improvement, be proficient in Project Management, and be skilled in Attention to Detail.
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