Regulatory Compliance Manager Job Description
Regulatory compliance manager
provides 2nd line regulatory compliance subject matter expertise support to 1st line partners for guidance, laws, rules and regulations impacting Consumer & Wealth Management.
Regulatory Compliance Manager Duties & Responsibilities
To write an effective regulatory compliance manager job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory compliance manager job description templates that you can modify and use.
Sample responsibilities for this position include:
When appropriate to do so, provide Compliance approval to all (material and non material) new, revised, or reviewed Outsourcing arrangements
Carry out and record applicability assessments for all Regulatory Obligations Registers
Lead implementation of group-led initiatives procedures\ policies
Manage membership of external bodies BBA and AFME
Support Compliance colleagues in other jurisdictions in helping to respond to queries from their regulators about the UK regimes
Provide initial triage impact analysis of new regulatory guidance on which SCB often has to act quickly and evidentially
Identifies and helps the team make program tradeoffs to balance scope, time, and costs
Provide professional expertise, lead or participate in a team of professional auditors responsible for all aspects of an audit
Draft the individual audit engagement plan that ensures adequate coverage of all areas of Regulatory Compliance (excluding AML) to permit the issuance of an overall opinion on internal controls and risk management practices to senior management when audit lead
Develop/maintain up to date and comprehensive Regulatory Compliance (excluding AML) Audit Programs to guide the performance of compliance reviews
Regulatory Compliance Manager Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regulatory Compliance Manager
List any licenses or certifications required by the position: CRCM, CPA, CIA, CAMS, CFSA, ISO, PMP, CISA, HACCP, AMLP
Education for Regulatory Compliance Manager
Typically a job would require a certain level of education.
Employers hiring for the regulatory compliance manager 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 Regulatory Compliance Manager
Desired skills for regulatory compliance manager include:
Project planning and project management methods and tools
Specifically consumer protection regulations impacting loan origination and servicing
U.S. banking laws and regulations
EU regulatory environment and key regulatory compliance regimes
Available internal resources
CMS Conditions of Coverage for ESRD facilities
FMS clinical and administrative policies and procedures
Principles and practices to perform tasks and duties
Quality improvement concepts
State regulations
Desired experience for regulatory compliance manager includes:
Act as Project Manager to define, establish & communicate detailed project plan together with agreed timelines, critical milestones, interdependencies & risks to the project and leadership teams
Ensure thorough understanding of Compliance and OE goals for alignment and execution
Operationalization of new compliance policies, products and services working with key business units and the Compliance Operations Group with key focus to design and deliver a world class customer experience while adhering to regulatory standards and requirements
Act as a change agent to drive continuous improvement mindset with key partners in APAC and globally
Work in an influential role with multiple business functions to generate process improvement ideas
Preparation of business cases for system enhancements to support the prioritization of product, process, and policy improvements in line with OE and BU goals
Regulatory Compliance Manager Examples
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Regulatory Compliance Manager Job Description
Job Description Example
Our innovative and growing company is looking for a regulatory compliance manager. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory compliance manager
- Audit facility to ensure regulatory compliance
- Lead Controlled Substance Compliance regulatory audits and inspections
- Assist in the management of regulatory compliance and partner audits
- Track, manage, and approve investigations, Corrective Actions/Preventative Actions (CAPAs), and audit responses
- Perform internal audits, site walk-throughs and inspection readiness activities to verify compliance
- Prepare and submit changes to approved internal control manuals where internal processes have changed
- Ensuring all lifecycle management processes are compliant with all applicable regulation including MIFID II and EMIR
- As needed, advises as an ad hoc member in Regulatory Affairs Functional Teams (RAFT) for assigned product development projects
- Responsible for authoring Food Contact Notifications on behalf of clients
- Developing the strategy for submission and understanding what information is required to complete the submission
Qualifications for regulatory compliance manager
- Identify opportunities to implement compliance related policies and procedures on an enterprise wide basis
- Support the Risk Assessment process and preforming monitoring and testing
- Ideally will have previous experience within outsourcing regulatory compliance
- Experience in the understanding and testing to meet both EU directives, regulations and standards, UL and FCC requirements
- Proven leadership and management skills with cross-functional teams, inspiration and motivation skills
- Occasional travel within Europe to visit customers and suppliers
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Regulatory Compliance Manager Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of regulatory compliance manager. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for regulatory compliance manager
- Support data collection, analyses, preparation and coordination of responses for regulatory audits, corrective action plans, quality/performance improvement plans
- Prepare and handle the submission of marketing and participant materials for government approval
- Provide subject matter expertise for common IT compliance frameworks
- Monitor emerging regulatory updates that may impact IT and/or healthcare
- Direct, supervise and train staff
- Oversees the PCG Regulatory Affairs team and their interaction with state and federal regulators in providing responses to regulatory inquiries and regulatory examinations
- Manage the team that responds to state requests as a result of Financial Advisor registration requests
- Coordinates, oversees and approves all regulatory responses submitted by the Firm
- Establish and roll out new CMC-related compliance processes and systems within global Regulatory affairs
- For (a subset of) established compliance processes and system, set up and use performance indicators to ensure these are being followed appropriately within the GRA community
Qualifications for regulatory compliance manager
- CRCM, CAMS, CCBCO, AMLP or other regulatory compliance certification preferred
- BS or BA degree in Science or Engineering
- Five or more years in a regulated field (medical devices, diagnostics, pharmaceuticals, or biologics) with a minimum of 3 years directly related to the management and administration of Quality Assurance, Quality Control, Regulatory Affairs/Compliance, and/or Quality Improvement operations
- Experience in report, policy, and procedure development
- Demonstrated ability to comprehend and interpret licensing conditions
- Proven experience in the management of the licensing and compliance processes
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Regulatory Compliance Manager Job Description
Job Description Example
Our innovative and growing company is hiring for a regulatory compliance manager. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory compliance manager
- Responsible for managing assigned regulatory tasks in Agile Product Lifecycle Management project flows
- May interact with legal department to review and evaluate required state regulatory filings
- Partners with IT Q&C and Q-CSV CoE to execute gap assessments between current practices and new regulatory expectations, as communicated via new health authority regulations, guidances, and enforcement trends
- Engage in product lifecycle management process and key supply chain improvement projects
- Report all criminal activity to the MA State Police and/or other law enforcement agencies
- Using expertise and independent judgment, works with facility, area and regional management staff to set and achieve improved regulatory and operational outcomes, identify risk areas and opportunities for improvement, and assist with root cause analysis, if indicated
- Educates and advances the use of the Quality Assessment and Improvement (QAI) Program tools and promotes utilization of Continuous Quality Improvement principles to ensure adherence to standard QAI activities, tracking and trending of required metrics, and identification and prioritization of performance improvement projects
- Conducts emergent mock surveys and coordinates rapid response teams to assist with intervention and resolution of critical facility specific problems
- Assist on drafting and maintaining WP compliance policies
- Draft and prepare reports for the relevant Boards and Executive Committees
Qualifications for regulatory compliance manager
- Experience in pharmacy practice, as licensed pharmacist, including experience in pharmacy operations in a variety of settings preferred
- Expert knowledge of pharmacy compliance policies, practices and systems
- Thorough knowledge of applicable federal, state, and local laws & regulations
- Experience in developing dashboards and processes to track and trend regulatory affairs matters and internal projects
- Experience with oversight of multiple health care facilities within a health system
- Familiar with the rest of the world food contact regulations
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Regulatory Compliance Manager Job Description
Job Description Example
Our growing company is hiring for a regulatory compliance manager. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for regulatory compliance manager
- Leads, coordinates, participates and resolves monitoring and oversight reviews
- Participates in risk assessment activities including identification, assessment and monitoring of risk
- Leads, coordinates and participates in managing audit planning, conducting mock audits, conducting audit training, managing audit evidence preparation, assessing the quality of audit evidence and audit preparedness
- Participates in the execution of onsite and/or desk audits and collecting anticipated audit findings
- Assists Medicare in responding to audit reports by developing, implementing and monitoring Corrective Action Plans
- Collects and prepares data for required reporting
- Creates and does presentation on various audit/risk topics to a variety of audiences
- Provides interpretation of guidance to Medicare
- Accountable for the ensuring reporting and documentation of the auditing procedures are in place
- Leads and facilitates meetings to ensure the engagement with internal and external stakeholders
Qualifications for regulatory compliance manager
- Ability to become IT savvy and become fluent in tools such as Fast Freight (IC’s tool for less-than-truckload transportation pricing)
- Proactively identify potential import compliance risks, recommend and develop corrective measures
- Monitor import regulations for changes / updates
- Supports the development and implementation of a schedule of reviews of all U.S. Compliance functions, in accordance with the Compliance FIM, Sections B2.1.3, and CRMP Manual
- Minimum five to seven years proven and progressive compliance and/or audit experience, preferably in the financial services sector
- Demonstrated understanding of Group Standards Manual (“GSM”) and FIM requirements, a plus
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Regulatory Compliance Manager Job Description
Job Description Example
Our company is growing rapidly and is looking for a regulatory compliance manager. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory compliance manager
- Drive continued improvement in technology supporting the regulatory change function, including exploration of new opportunities for strategic investment
- Coordinate with strategic partners to ensure risks and issues associated with regulatory change are properly identified
- Survey peer firms for perspectives on relevant regulatory notifications
- Prepare and deliver written and oral presentations to management
- Ensure quality control standards are maintained
- Oversee department response to regulatory examinations and inquiries
- Identifies compliance, supervision and operational issues discovered in examinations and inquiries
- Under the direction of management, participate in the development, filing, maintenance, and publishing of tariffs and price lists
- Ensure regulatory reporting, compliance, and payment of regulatory fees are submitted in a timely and accurate manner
- Monitor, track and analyze regulatory matters filed with the Federal Communications Commission (FCC), State and Federal Regulatory bodies in a timely and accurate manner
Qualifications for regulatory compliance manager
- The job requires a good scientific background (1) to allow review and assessment of scientific, technical registration files or issues, (2) to analyze and understand scientific and regulatory legislations, and (3) to provide scientific and regulatory input to GRA Teams, when required
- Engineer or PhD in Life sciences, Pharmacy or equivalent
- Biology, Chemistry, Infectious disease, Biochemistry, Medical Sciences, Engineering, Immunology, analytical methods and tools
- 6+ years in pharmaceutical industry or research organization , with 3y+ experience in Regulatory Affairs and technical writing, with experience of team leadership
- A minimum of six (6) to eight (8) years of training experience is required and must be able to prove his/her work experience as an effective trainer or training facilitator
- Individual must also possess the confidence and interpersonal skills to conduct training sessions in front of large groups of people, including all levels of management, if necessary