Manager, Regulatory Compliance Job Description
Manager, regulatory compliance
provides advice and assistance to business units on new initiatives and projects to promote compliance with Applicable Regulatory Requirements.
Manager, Regulatory Compliance Duties & Responsibilities
To write an effective manager, regulatory compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included manager, regulatory compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Ensures Compliance program is envisioned, designed, developed, and implemented across the enterprise to meet business needs
Ensuring the exiting services to clients that meet regulatory requirements, are robust and are achieved each day daily EMIR reporting to trade repositories
Liaising with different groups needed to complete the submission to ensure that a cohesive submission is made, specifically Analytical and Toxicological Services
Responsible for building client relationships with food contact clients and developing increased business/sales with these clients and new food contact clients
Facilitate improvements in the overall standards of the group's compliance in the Bank's key distribution channels
Policy Management-Ensure that robust policies and related procedures are in place to comply with applicable laws, regulations and codes, and internal policy requirements
Education & Training-Determine optimal training strategy, content and mode of delivery
Assist with management of implementation of the Capital Markets Regulatory Compliance Management Framework and updates
Document controls and mitigation efforts relating to regulatory requirements and risks and report on control and mitigation efforts
Review and vet Outsourcing arrangements for the Europe Region
Manager, Regulatory Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Manager, Regulatory Compliance
List any licenses or certifications required by the position: CRCM, CPA, CIA, CAMS, CFSA, ISO, PMP, CISA, HACCP, AMLP
Education for Manager, Regulatory Compliance
Typically a job would require a certain level of education.
Employers hiring for the manager, regulatory compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Education, Science, Engineering, Accounting, Finance, Technical, MBA, Management, Law
Skills for Manager, Regulatory Compliance
Desired skills for manager, regulatory compliance include:
Operations
Products
Systems and organization
Assigned businesses
Business
Pertinent regulations and site SOPs
Industry compliance initiatives pertaining to areas of responsibility and best practices
Local securities environment
Regulatory Compliance requirements applicable to the business
Services
Desired experience for manager, regulatory compliance includes:
Ability to work to deadlines whilst maintaining a high degree of accuracy and quality
Strong spreadsheet skills are essential with an ability to develop complex financial databases in a dynamic and time sensitive environment linking data between PC’s and servers
Bachelor's or Master's degree, preferably in engineering discipline (mechanical, electronics, industrial), in computer/electronics industry design or manufacturing
The RC Issues Management Lead (“Lead”) is a new role that enhances issues management across Regulatory Compliance, and provides accountability for reviewing, escalating, tracking and reporting issues across HBSC
Providing analysis of issues (root cause, trigger events, themes, ), and reporting as necessary
Regulatory requirements in Canada and our international operation are rapidly changing with evolving standards and leading practices
Manager, Regulatory Compliance Examples
1
Manager, Regulatory Compliance Job Description
Job Description Example
Our company is looking to fill the role of manager, regulatory compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for manager, regulatory compliance
- Develop an effective and coordinated BRQC approach to monitoring, evaluating and facilitating the implementation of new or revised regulatory requirements/guidance’s, , enabling BRQC and business functions by providing current trends in industry and company compliance
- Be responsible for daily monitoring (Mining) of external industry regulatory intelligence information for GxP and business sector applicability, , internal J&J inspection outcomes and trends
- Organize and attend meetings related to programs and operations
- Liaise and oversee external consultants engaged on cloud readiness compliance matters
- 5+ years of work experience including a mix of public accounting, consulting and/or related industry experience
- Experience with decision trees, analytical hierarchy programming and regression analysis is required
- Knowledge of Basel II compliance is preferred
- Candidate needs to be comfortable providing technical assistance and financial modeling expertise to non-technical clients and internal teams
- Certifications desired (e.g., CPA/CA, CIA, CISA, CFE, CMA, PMP, CCIM)
- Formalise and promote the regulatory standard project approaches defined within the PRO team
Qualifications for manager, regulatory compliance
- Assists senior management articulate any control weaknesses and status of plans to address these across HNAH
- Candidate should be familiar with CPSC rules, bans, standards and regulations for apparel product, REACH, product testing, various QC processes/procedures
- Willingness to work on new ideas and resolve challenges
- Clear knowledge and understanding of all UK and EU legislation surrounding ingredients and trade compliance issues for sports nutrition and supplements
- Superior understanding of FSA/ESSNA and local rules and regulations, how they impact the company, its vendors, manufacturers, competitors
- Undergraduate degree (B
2
Manager, Regulatory Compliance Job Description
Job Description Example
Our company is looking to fill the role of manager, regulatory compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for manager, regulatory compliance
- Advise business on marketing claims and create regulatory plans
- Authoring all sections of the submission, including conducting exposure calculations and authoring the Executive Summary
- Participating in conference calls and meetings with the clients
- Responsible for keeping up to date on the dynamic food contact regulations through seminars and networking events
- Responsible for Regulatory Compliance Assessments via knowledge of existing regulations and searches of regulatory databases
- Responsible for working with the Analytical Group on developing protocols for migration studies and the design of protocols related to food contact issues
- Manage cross-functional teams to complete food contact notifications
- Manage consultants involved in the preparation of FCN, if needed
- Develop a leading position in the market by presenting at and attending technical seminars regarding food contact compliance
- Keep abreast of regulatory reporting, rules and changes
Qualifications for manager, regulatory compliance
- Undergraduate 4 year degree in Administration, Human Resources, Information Technology or related discipline
- 7 to 10 years of Financial Institution Regulatory Compliance with emphasis on banking laws and regulations preferred
- Relevant certifications (CRCM, CAMS, etc) preferred
- Experience working in a financial regulatory agency is preferred
- Proficient verbal and written English communication skills preferred
- 7 to 10 years of Financial Institution Regulatory Compliance with emphasis on banking laws and regulations
3
Manager, Regulatory Compliance Job Description
Job Description Example
Our growing company is looking for a manager, regulatory compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for manager, regulatory compliance
- Supporting project teams, delivering valuable insights, and designing and implementing business change with a focus on people and process
- Working with other internal stakeholders to designing, implement and maintain appropriate compliance-related financial underwriting requirements, processes and controls for high, medium and lower risk products and customers
- Communicates compliance gaps, considering big picture risks, and gains business partner commitment to address issues found during audits
- Leads, coordinates, participates and resolves audit requests from Center for Medicare and Medicaid Services (CMS), Office of the Inspector General (OIG) or other regulatory authorities to ensure accurate and timely resolution of internal/ external audits
- Communicates crucial guidance and information to business owners timely and accurately
- Participate to cross-departmental compliance initiatives as GRA representative, when required
- Provide adequate regulatory compliance expertise to GRA governance boards, and when appropriate Vx compliance governance/advisory boards
- Share and train Project, Region and Functional GRA Teams about Compliance matters
- Provide compliance expertise support to Project, Region or Functional GRA Teams for interactions with Regulatory Authorities
- Function as a Regulatory resource to optimize SQF, HACCP, FSMA programs
Qualifications for manager, regulatory compliance
- Experience working in a financial regulatory agency a plus
- Previous experience in dealing with Compliance issues and Regulations
- Experienced in liaising with government regulators
- Ability to understand and interpret regulatory compliance regulations
- Ability to travel into state as required
- Due to global nature of our clients the candidate will need to have an understanding of equivalent regulation abroad Dodd Frank or requirements in Australia
4
Manager, Regulatory Compliance Job Description
Job Description Example
Our growing company is hiring for a manager, regulatory compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for manager, regulatory compliance
- Providing support to internal partners with respect to complex cases or situations, including with respect to determining ultimate beneficial ownership, mandatory review of higher risk clients, and requests for exceptions from established policies and processes in accordance with documented procedures
- Acting as the primary contact point for AML/CFT issues escalated by the bancassurance or FA channels
- Manage the performance of all flood insurance related due diligence on commercial loan packages prepared internally and by external legal counsel
- Ensure "Authorizations to Close" are delivered to lenders upon satisfaction of all flood insurance related requirements
- Maintain, in conformance with federal regulations, flood insurance policies for the life of impacted loans
- Ensure Force placement of flood insurance on impacted loans in compliance with federal regulations
- Develops, implements and maintains formal compliance structure and computer and filing systems for Government Programs compliance materials
- Creates the structure and processes necessary to manage Government Programs product offerings and related activities
- Manages process for drafting all policy language and reviews all written materials for compliance with federal regulations, contractual requirements
- May interact with legal department
Qualifications for manager, regulatory compliance
- Pharmacy Doctorate of Juris Doctorate Preferred
- Strong experience with Canadian Consumer Product regulations preferred, CCPSA
- Maintain current knowledge of current and proposed regulations, laws, guidelines standards, and initiatives
- Must have advanced knowledge of applicable regulations and standards related to medical devices internationally (ISO 13485, Medical Device Regulation, Anvisa, CFDA)
- 3 years proven track record of working successfully in a commercially driven B2B sales environment
- A drive to manage your own territory to develop your customer base, via phone and face to face prospecting
5
Manager, Regulatory Compliance Job Description
Job Description Example
Our growing company is looking for a manager, regulatory compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for manager, regulatory compliance
- Conducting a variety of tasks associated with tracking progress, maintaining documentation, and preparing material on regulatory compliance that may affect the business segment's objectives
- Responds to calls from external and internal stakeholders for guidance and facilitation of audits
- Serve as AML Officer for the firm
- Research issues, projects and initiatives and advise department heads on staff on regulatory requirements, possible regulatory ramifications
- Create compliance training on regulatory topics where needed
- Monitors adherence to contractual or regulatory obligations
- Identify opportunities to influence rulemaking process through partnership with industry groups
- Liaise with regulatory change management organizations within affiliates to ensure regulatory changes are identified and properly assigned
- Maintain PCG regulatory change management program documentation, including dashboards and project status for active regulatory change initiatives
- Provide status updates of regulatory change management program to compliance leadership via participation in compliance leadership meetings
Qualifications for manager, regulatory compliance
- Demonstrated experience of building and maintaining excellent client relationships
- Good negotiation skills, with high level presentation skills
- Serve as Subject Matter Expert on commercial terms and conditions in the country in which the project is located
- Proven work experience in project management in an investment bank or other financial institution
- Understanding and knowledge of a broad set of regulations and standards (21 CFR 820
- One year of Supervisor or Management experience Required