Regulatory Compliance Job Description
Regulatory compliance
provides cross-cutting scientific regulatory expertise and consultation regarding medical products (e.g., drugs, biologics and devices) subject to the Food and Drug Administration (FDA) regulations for the Agency.
Regulatory Compliance Duties & Responsibilities
To write an effective regulatory compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Maintain a thorough knowledge and understanding of applicable cGMP Regulations, Regulatory Agency Guidelines, Industry Association Guidelines, and Good Practices
Support activity for FDA- ACE submissions
Provide reliable interpretations of regulations and guidance documents
Perform all duties in compliance with the Bank’s policies regarding Equal Employment Opportunity, Code of Conduct and the appropriate use of email, the Internet and any other technology tools the Bank Secrecy Act (BSA) and Bank Protection Act (BPA) regulations
Lead the implementation across the site of a self audit program
Examining FCA and PRA rule changes, providing assessments and discussing implications for the business with the HRAPR and the Director of UK Compliance
Managing and co-ordinating the submission of electronic FCA and PRA returns via the GABRIEL and Connect systems
Providing compliance/regulatory input to monitoring programmes
Reviewing and approving product/fund literature and financial promotions in respect of the UK Pensions Company
Undertaking ad hoc reviews and projects as determined by the HRAPR and the Director of UK Compliance
Regulatory Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regulatory Compliance
List any licenses or certifications required by the position: EN, CAMS, CPA, FDA, EMC, CRCM, CFIA, DSP, ASQ, RC
Education for Regulatory Compliance
Typically a job would require a certain level of education.
Employers hiring for the 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 Education, Business, Engineering, Science, Technical, Accounting, Chemistry, Finance, Law, Management
Skills for Regulatory Compliance
Desired skills for regulatory compliance include:
Operations
Excel
Regulations
U.S. banking laws and regulations
Products
PowerPoint
Assigned businesses
Systems and organization
FDA
U.S. Food and Drug Administration
Desired experience for regulatory compliance includes:
Assisting and supporting the HRAPR and Director of UK Compliance as directed
A good understanding of the technical nature of the business including pricing, valuation and transfer agency processes
Monitor regulatory compliance requirements
Be responsible for the handling the daily questions from the private wealth management business, including and not l imited to product suitability, product advisory
Be responsible for development of the compliance framework and tools
Have good understanding of the regulatory framework for the private wealth management space
Regulatory Compliance Examples
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Regulatory Compliance Job Description
Job Description Example
Our company is searching for experienced candidates for the position of 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 regulatory compliance
- Spearhead efforts in gathering, synthesizing and creating a database of worldwide regulations with contact information for each of the countries’ telecommunications agencies
- Coordinating and overseeing communications and lobbying activities/advocacy campaigns with domestic and foreign regulatory authorities and with regional and international regulatory bodies concerning the company’s current and/or planned commercial operations
- Provide guidance on legal and regulatory compliance, including analyzing new regulations, identifying major risk factors, and advising on, effectively monitoring, detecting and resolving such issues
- Provide on-going and objective oversight of firm activities with a view to detecting potential risks and non-compliant activity at the earliest possible stage
- Handling all regulatory requests, including ad hoc enquiries, risk assessments, offsite review, prudential meeting, outsourcing application and onsite inspections
- Follow up implementation of recommendations from regulators/internal audit
- Have accountability for GxP compliance strategy and operational excellence in the area of information technology, with particular focus on software and healthcare technologies / digital health
- Provide leadership and expertise in interpreting and evaluating risk associated with audit and inspection outcomes
- Own software and healthcare technology related inspection readiness program, including engaging directly with health authorities in support of J&J businesses globally
- Develop talent and establish training programs to support the rapid pace of innovation in the area of software medical devices and healthcare technology, deliver compliance awareness programs to key stakeholders
Qualifications for regulatory compliance
- Fluent in English and Cantonese is a must
- Maintain and arrange internal systems related to major regulatory entities ie
- 3rd level education to Degree or Master level in an economic or numerical discipline and/or relevant professional qualifications
- Strong cross-functional experience either in-house or externally in a financial services environment
- Previous experience in Consulting Advisory/Operational Risk role preferred
- Previous experience liaising with Regulators preferred
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Regulatory Compliance Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of regulatory compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory compliance
- Integrate with defined business groups to develop intimate knowledge of business strategy, chemistry, products, end use application markets, in order to provide strong product stewardship and regulatory support to the business groups
- Assist in recommending regulations, policies and procedures to improve effectiveness and productivity of the Gaming Agents Division
- Monitor changes in laws and regulations for their application to company business
- Research laws and regulations in order to respond to internal inquiries or needs in all areas of regulatory compliance
- Acts as lead among Quality, Education, and Technical departments to provide educational activities as needed to achieve compliance with federal, state, and local laws and regulations
- Serve as primary owner of controlled substances management tasks (sample and commercial shipments, ARCOS reporting, inventory, quota, registrations)
- Responsible for formulating and selling internally the corporate global regulatory strategy for satellite communications management
- Coordination with Satellite Operators to include SES
- Communicating with regulatory agencies regarding pre-submission strategies
- Coordinating efforts associated with the preparation of regulatory documents or submissions
Qualifications for regulatory compliance
- LCOI preferred
- Demonstrated working knowledge of standard compliance concepts, practices, policies and related state and federal laws and experience with regulatory agencies, requirements, and/or regulatory compliance
- Thorough knowledge of bank regulatory requirements
- Knowledge of bank procedures
- Thorough knowledge of network and mainframe systems
- Possess analytical and questioning thought process
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Regulatory Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of regulatory compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory compliance
- Demonstrate adherence to the company’s Code of Conduct, all company policies and procedures, and all laws and regulations that govern the company
- Responsible for conducting prompt and thorough research analysis of domestic and international regulations
- Maintain awareness of new and changing regulations that would impact pipeline safety
- Support Operations efforts and maintain recordkeeping for Leak Reporting (Leak Database), Periodic Patrols, Damage Statistics Reporting, Corrosion control reporting, HCA survey reviews, Annual Valve Maintenance, Regulator, valve and relief valve maintenance databases and other reporting as required by business or regulatory requirements
- Work with Operations Managers and their assigned personnel to address compliance issues
- Provide regulatory support for Engineering (RF requirements)
- Utilizing relationships with companies in China, Russia and Korea, build on these to secure authorizations
- Develop and conduct employee regulatory training
- Ability to effectively and efficiently manage internal and external teams of contractors worldwide
- Provide technical expertise and value-adding product stewardship and regulatory services to internal and/or external customers and their commercial partners
Qualifications for regulatory compliance
- Bachelor's Degree is required, preferably in engineering or life sciences
- Ability to work in small team environment, but also self-starter with ability to work independently is necessary
- Ability to work on problems of diverse scope where analysis of a situation or data requires evaluation of various factors is essential
- Must be able to meet deadlines and be detailed orientated
- Good planning and organization skills are a must
- Strong critical thinking and problem solving skills are necessary
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Regulatory Compliance Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of 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 regulatory compliance
- Maintains knowledge and expertise with current FERC/NERC/WECC regulations and requirements
- Use professional judgment to manage complex regulatory challenges having multiple interpretations to meet business needs while adhering to corporate ethical and legal conduct guidelines
- Manage various datasets in the Product Stewardship and Regulatory databases
- Direct customer support & regulatory communication to both internal & external customers
- Author and manage distribution of Safety Data Sheets and labels for compliance to various global standards
- Prepare and file financial and regulatory reports with insurance departments
- Prepare responses to insurance department requests
- Coordinate loading of certifications into CATS system maintenance and upgrades
- Serve as a liaison between the company and regulatory entities, which may include FERC, NERC, RROs, RTOs, CFTC, and other entities, on compliance-related needs including, but not limited to, reporting requirements
- Participate in the development, implementation, and maintenance of company compliance efforts which cover procedure updates, evidence gathering and management, and tracking of requirements and reporting established by external agencies
Qualifications for regulatory compliance
- Must be able to communicate effectively (verbal and written)
- A background in Risk, Risk Ops, Compliance or Audit in financial services industry preferably at large bank/broker-dealer
- Experience at a financial services regulator (FINRA or other SRO, SEC, NFA, CFTC, Fed or OCC) covering large Bank/BDs
- Business side broker-dealer experience and product experience in markets areas (equities, fixed income, commodities or related derivative instruments)
- Broker-dealer ops/back or middle office experience or back office processes related to these products
- Securities licenses (Series 7, 55 or other) or CFA
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Regulatory Compliance Job Description
Job Description Example
Our growing company is looking to fill the role of regulatory compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory compliance
- Work closely with inspection readiness team to prepare for, coordinate and host external audits (including FDA) for the site
- Monitor the activities of the Insurance Services Office (ISO) for lines of business and document changes that affect our products
- Prepare and submit product registrations and submissions 510K's and PMA to FDA and other regulatory bodies
- Plan, develop, and implement training programs for commercial desk personnel to ensure compliance with rules established by the various regulatory agencies
- Collaborate with subject matter experts to prepare responses to regulatory requests for information, including, but not limited to, compliance audits, spot-checks, and self-certifications
- Conduct departmental self-assessments to identify gaps and work with applicable personnel to implement mitigation plans to address potential concerns in a timely manner
- Research new and emerging regulatory activities affecting the company and update impacted business groups and Senior Management as needed
- Facilitate company outreach to promulgate information related to the Compliance Program to ensure that affected Parties are knowledgeable and up-to-date with all requirements
- Assist in the development, tracking, calculating and reporting of corporate compliance metrics to Senior Management
- Some travel required to participate in industry forums, and also to regional offices/plant sites to perform compliance assessments, gap analyses, mock audits, audit preparation and training of plant personnel
Qualifications for regulatory compliance
- Ability to easily grasp and comprehend AML risks specific to a particular business unit and develop extensive user requirements recommend automated solutions to reduce those risks
- Industry-specific certifications, preferred
- Must be able to remain in a sitting or standing in stationary position for extended periods of time
- Operate a computer and other office machinery for extended periods of time
- Ability to work well independently, effective member of a team
- Fully competent in the use of common computer software – Microsoft Windows, Microsoft Word, Microsoft Excel, Microsoft Power Point, and Microsoft Project