Manager, Regulatory Compliance Resume Samples

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F Ferry

Foster

Ferry

20480 Rene Pines

Houston

+1 (555) 347 1764

20480 Rene Pines

Houston

Phone

p +1 (555) 347 1764

Experience Experience

New York, NY

Manager Regulatory Compliance

New York, NY

Bosco Inc

New York, NY

Manager Regulatory Compliance

Monitor for regulatory updates, including new forms, interpretations, legislation and case law
Implements monitoring programs to ensure compliance
Provides assistance in the development and maintenance of supporting policies, procedures, agreements, and contracts
Assist with the Compliance Risk Assessment process across the business lines on an ongoing basis and obtain business sign-off
Works closely with Financial Intelligence Unit and Business Financial Intelligence Units to manage Risk and Compliance matters in Canada
Execution of institutional surveillance reviews encompassing RC oversight, including, but not limited to, market conduct surveillance (such as insider trading, market manipulation, collusive activity, disclosure of confidential information), e-communication surveillance and other 2nd line of defence activities
Identification of Regulatory Compliance changes and potential impacts on GBM in Canada

Chicago, IL

Manager, Regulatory Compliance

Chicago, IL

Kerluke-Schoen

Chicago, IL

Manager, Regulatory Compliance

Provides recurring updates to management on current audit assignments and projects in process
Develop and foster constructive professional relationships with multiple disciplines and line management
Handling client issues relating to regulatory services including improvements, changes to the service, new business, operational issues and complaints
Establish trust and credibility with key stakeholders
Attract, develop and lead exceptional talent for audit compliance and business continuity
Work with senior leaders to develop compliance action plans
May coordinate program and product development with other compliance functions, including licensing

present

Chicago, IL

Senior Manager OTC Consumer Regulatory Compliance

Chicago, IL

Prohaska-Simonis

present

Chicago, IL

Senior Manager OTC Consumer Regulatory Compliance

present

This role may participate in the deployment of J&J Regulatory Compliance processes within the North America region, including but not limited to the closed-loop audit program, QScan, review of regulatory agency communications, significant inspection follow-up, and metrics collection and reporting
Assess compliance and quality risk management programs to assure they are implemented and maintained at the site
Provide proactive regulatory insight into new and upcoming regulations
Assist with the mitigation of compliance risk at the manufacturing site
Assure the execution of the JJRC common practices for independent Audit, Escalation (within JJRC), Recovery, Post Acquisition Assessment, Internal audit Oversight and Inspection Support & Readiness
Perform review of all Health Authority communication
Lead/Support site in preparing for Health Authority (HA) inspections (including Pre-Approval inspections), assist sites during HA inspections and with any resulting compliance commitments

Education Education

Bachelor’s Degree in Business

University of San Francisco

Bachelor’s Degree in Business

Skills Skills

Good client and prospect communications experience with excellent presentations skills and a high standard of written work
Strong planning and organizational skills
Establish strong collaborative relationships with cross functional team, including underwriting, finance, marketing and product development
Service contract, portable electronic insurance, and ancillary product and program development and implementation
Strong organizational and technical skills
Proven ability to maintain confidential communications
Strong written and oral communication skills
Have functional understanding of the company’s risk profile and the impact of product decisions on the company’s core financial performance
Knowledge of unit processes and operations
Flexible presentation skills and be personable, persuasive, cooperative and authorative

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Manager Regulatory Compliance CMB Resume Examples & Samples

This position manages the compliance function in assigned businesses to protect Company interests
This position also provides support on compliance matters that affect one or more of the HSBC businesses in Canada. Also assists in functional compliance management activities, including the fulfillment of compliance reporting requirements
Minimum of seven years proven and progressive financial services operations, compliance or legal experience or equivalent
Proven managerial, communications, analytical, organizational, project management and planning skills, including strong writing skills
Strong knowledge of pertinent regulations affecting assigned businesses

Manager Regulatory Compliance Rbwm Investment Funds Monitoring Resume Examples & Samples

Global Service Centres
Customer Service Centres
Complaints
IT / technology

Assistant VP Manager Regulatory Compliance Business Office Resume Examples & Samples

Bachelor’s degree in business management, finance, accounting, economics, mathematics, related fields or equivalent experience
Knowledge of the business and functional units supported, their products and services
Knowledge of project management principles, practices, techniques, and tools

Manager, Regulatory Compliance Resume Examples & Samples

Maintaining the Regulatory Enterprise Compliance Program (“ECP) for Canadian P&C (i.e. inventory of regulatory requirements, documentation of controls, assessments of control effectiveness, listing of deficiencies and related action plans, performing point in time 1st line of defense Monitoring & Testing (“M&T”) activities, etc
Providing subject matter expertise and coordination support to Canadian P&C’s participation in Enterprise level risk and compliance framework programs (i.e. Quarterly Regulatory Compliance Attestations, Operational Risk Loss Event reporting, etc.)
Environmental understanding (working)
Organizational understanding (working)
Change leadership (working)
Analytical Thinking (working)
Relationship Management (working)
Process co-ordination and Management (working)
Problem solving (working)

Reg W Assistant VP Manager Regulatory Compliance Resume Examples & Samples

Serves as the central point of contact for US Compliance and oversees the accuracy of the information regarding the regulation in the risk assessment tools while serving as the advocate for consistency of controls
Is knowledgeable about the results of any relevant BRCM reviews, CTAC testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Provides support to ensure remediation efforts are on track for assigned regulation(s), regulatory requirements, and/or compliance risks
Assists senior management articulate any control weaknesses and status of plans to address these across HNAH. Initially, this information will be part of the Regulatory Controls Review RCR Controls Remediation Project for each regulation

Manager Regulatory Compliance Resume Examples & Samples

A managerial position of this scope will entail many relationships. A manager would have to work directly with compliance staff, business staff and varying levels of business management and will include regular contact with investment, trust and banking professionals as well as various departments within the business including, legal, operations and technology
Experience with Canadian Investment Adviser regulations or compliance would be an asset
Working knowledge of information technology tools required including: MS Excel, MS Word and portfolio management or investment industry software
Candidates with a recent legal degree (JD/LLB) are preferred
Ability to demonstrate effective use of judgment, interpretation, knowledge and skill in the application of regulations and compliance requirements
Strong writing skills for: 1) compliance reporting, 2) identifying, analyzing and escalating compliance issues, and 3) clearly communication regulatory obligations and expectations

AVP Manager Regulatory Compliance Resume Examples & Samples

Helps ensure business lines appropriately incorporate change to align with new or revised regulatory requirements. Supports business lines and LCOs in development of solutions to ensure compliance with assigned regulation(s), regulatory requirements and/or compliance risks
Helps ensure future business growth is attained in a responsible and conscientious fashion while the operation remains regulatory compliant and commercially sound
Minimum of four to six years proven and progressive financial services, compliance, and/or legal management experience, or equivalent
Broad scope of knowledge of assigned businesses, including products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to assigned business(es)

Manager Regulatory Compliance Hsbc Technology Services & Global Functions Resume Examples & Samples

The job holder will report to the Head of RC Global Functions & HTS and will have accountability and oversight of RC for either Global Functions or HTS
Minimum 3-5 years’ experience in Compliance, legal and/or the Global Functions or HTS businesses
Ability to maintain control, direction and motivation in an ever-changing environment
Strong relationship management skills with the ability to manage & engage multiple stakeholders, meet their expectations , negotiate in situations of conflicting interests and influence key decision makers in a positive manner
Strong communication and influencing skills – both verbal and written
Ability to understand and implement Group risk management policies

Manager Regulatory Compliance & Internal Control Resume Examples & Samples

Operation and on-going development of comprehensive regulatory management metrics that provide necessary reports to GWO Senior Management and GBM recipients for compliance and decision support purposes. The incumbent is responsible for ensuring that management and GBM Compliance is kept informed and that problems and issues are escalated appropriately
Effectively manage and supervise staff (through project assignments) by setting (or providing input for) performance expectations, monitoring performance, providing performance feedback as required
Work with Technology teams to design and transfer large-scale manual processes for automation by building business requirements and providing process expertise. Continue to acquire and enhance knowledge of GWO’s business strategies and policies, regulatory requirements, processes, and changing technology to effectively assist in the provision of business solutions and services to the end user business lines
Other ad-hoc projects for supporting operational and regulatory needs, as assigned
Ability to work with large quantities of data, to research and organize results
Ability to build relationships across different groups within the organization and cross-functional teams
Strong computer skills in MS Office and PC use
Ability to meet tight deadlines
Good oral and written communication skills and presentation skills
Process Improvement knowledge and solution implementation skills, including process mapping and analysis techniques
Practical knowledge / experience in GBM trading products and good understanding of standard operational processes is an asset
Knowledge of the Bank's business partners, products, technology and processes & policies is an asset
Supervisory/people management experience

Manager Regulatory Compliance E Testing & Control Resume Examples & Samples

Work collaboratively within the immediate team and more widely within the RC team
Contribute to your team’s delivery of outstanding performance (client service, behavioural expectations, and adherence to RC E-13 Testing & Control Plans)
Exercise any/all delegated authorities with due care and diligence
Think proactively and come up with ideas for enhancements to monitoring activity
Awareness of good risk management and governance frameworks including 3 lines of defence criteria
Good understanding and experience of Regulatory Compliance regulations
Understanding of the activities of relevant business lines and associated compliance risks
Ability to work under pressure and within tight time-lines and competing priorities

Manager Regulatory Compliance Resume Examples & Samples

The job holder will report to the Head of FCC & RC GBM and will have accountability for ongoing FCC and RC surveillance activities within GBM Canada Compliance. The Lead of GBM FCC and RC Surveillance will also have oversight over this role
Bachelor degree or equivalent experience
Industry related continuing education, including but not limited to CAMS and the Canadian Securities Course
Resourceful - ability to leverage resources available to achieve goals

Manager Regulatory Compliance Resume Examples & Samples

The job holder will report to the Head of RC GBM and will have accountability for ongoing RC surveillance activities within GBM Canada Regulatory Compliance. The Lead of GBM RC Surveillance will also have oversight over this role
Strong IT skills advantageous, especially in Excel
Knowledge of GBM businesses and products preferred, in particular Fixed Income products

Compliance Archiving & Regulatory Supervision Infrastructure Group Manager Resume Examples & Samples

Bachelors degree or relevant experience required
10+ years of experience required
Experience with managing vendors
Experience in SLA management with strong Operational Background
Experience and solid knowledge and insight on the CA Orchestria, CA DLP, HP Autonomy, and EMC Info Archive products
Solid understanding of SMTP e-mail
Understanding of financial regulations and data privacy policies that govern over financial intuitions (such as Dodd-Frank, Sarbanes Oxley, SEC 17-4a, Swiss regulations, etc)
Database to infrastructure solutions

Manager, Regulatory Compliance Resume Examples & Samples

Manage the successful execution of a risk-based external client audits
Develop and foster constructive professional relationships with multiple disciplines and line management
Establish trust and credibility with key stakeholders
Attract, develop and lead exceptional talent for audit compliance and business continuity
Assess risks and formulate logical and supportable conclusions
Review and develop audit materials that meet all relevant professional practice requirements
Review and prepare concise, well-written audit communications, including final reports
Minimum 5 years professional experience with leadership responsibilities in audit, human resource, project management or related field
Ability to accurately gather, analyze and interpret data, define problems, and make. recommendations for resolution
Excellent Communication Skills, both written and oral
Quality and Execution Focused

Compliance & Regulatory Senior Manager Resume Examples & Samples

Planning and managing projects as required, meeting all deadlines in a timely manner
The interpretation and implementation of regulations
Provision of monitoring or internal audit services specific to compliance with regulatory requirements
On call advisory
Design and delivery of regulatory training tailored to meet client's needs etc

Learning & Talent Academy Lead Learning Relationship Manager To Regulatory & Financial Crime Compliance Resume Examples & Samples

Learning - Responsible for implementation of one or more Academies in Canada, using Group wide frameworks as a core product and adds to, tailors and changes to meet regional needs. Conduct needs analysis and demand planning for the Academy. Manage the ongoing Learning requirements of the business and plan the content to meet these requirements. Leverage Group vendor relationships and establish supplier options for regional activity. Act as final escalation point and subject matter expert for relevant Academy area
Minimum of eight years proven and progressive Human Resources (training) experience, or equivalent
Proven managerial skills
Strong analytical, organizational, problem-solving and communications skills
Strong knowledge of pertinent rules and regulations
Ability to exercise discretion and tactfully handle sensitive and confidential issues

Senior Audit Manager IA Compliance Regulatory Resume Examples & Samples

Leads coverage and maintenance processes that link audit entities, audits, and findings to laws and regulations in order to assess audit coverage of key regulatory compliance risks across the organization and enhance reporting of thematic general and institutional compliance control issues
Leads the effort to sustain and refresh relevant risk themes framework and taxonomy. This includes developing target operating models (TOMs) and delivering audit guides
Leads the review process of mapping risk themes to appropriate Internal Audit functions
Participates in the review and approval process of business monitoring quarterly summaries
Partners with Technology team to discuss assumptions and integration of technology to build the Risk Themes Framework
Maintains effective senior line management relationships and has a strong understanding of the businesses
Applies in-depth understanding of the inter-relationships of business and support units throughout the corporation and the relevant impacts to the overall control environment and audit approach
BA/BS or equivalent, preferably with a degree related to business, mathematics or statistics. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus, and CAMS certification is a strong plus
7+ years experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
Leads application of in-depth level of expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
Leads by demonstrating strong judgment, political astuteness, and sensitivity to cultural diversity

Audit Manager, Compliance Regulatory Resume Examples & Samples

Supports coverage and maintenance processes that link audit entities, audits, and findings to laws and regulations in order to assess audit coverage of key regulatory compliance risks across the organization and enhance reporting of thematic general and institutional compliance control issues
Supports the effort to sustain and refresh relevant risk themes framework and taxonomy, from developing target operating models (TOMs) to delivering audit guides
Supports the review process of mapping risk themes to appropriate Internal Audit functions
Partners with Internal Audit functions and Compliance (second line of defense) to align risk taxonomies and assign audit hours against applicable risk themes and ensure adequate coverage
Supports the review and approval process of business monitoring quarterly summaries
Uses excellent project management and interpersonal skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners
Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
Comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: consumer banking, technology management; program management; regulatory compliance and supplier management
Relevant knowledge in working with compliance programs that have been established to comply with the local and U.S. regulatory requirements, second line of defense policies and procedures, provisions and guidelines established by the federal regulators and all applicable regulations governing banking activities and operations
6+ years experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
Proficiency with PowerPoint, Excel, and Word is essential. Familiarity with SharePoint is a strong plus
Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity

Associate Manager Regulatory Compliance Resume Examples & Samples

Project management & organizational skills
Strong communication skills, ability to provide clear and engaging messages
Broad regulatory experience, with an emphasis on the management of safety information, labelling management and change control
Clear judgment , ability to make decisions
Accuracy, attention to detail & ability to manage complexity and act with speed
Good time management , results-driven & a can-do attitude
Built strong partnership with regional , cluster and local stakeholders and in particular with the equivalent CCDS regional Medical Affairs colleague
Write or update key guidance documents for EMEA for the management of CCDS applications/reviews for regional and local roles. Communicate and familiarize/ train the stakeholders with the guidance docs
Maintain good cooperation and timely and regular alignment with the Global CCDS team and EMEA regulatory management for all aspects of CCDS updates and submissions to the relevant Authorities
Work closely with regional Medical Affairs colleagues to facilitate the creation of local or regional Clinical overviews enabling the safety submissions
Liaise with local or regional regulatory colleagues to support the CCDS driven safety submissions
Coordination and Project management of major safety changes such as PRAC labelling recommendations etc. and HA commitments
To be trained in and remain compliant with appropriate Company Standard Operating Procedures
In cooperation with regional Medical Affairs deliver training and encourage a culture of compliance across EMEA in relation to the optimal CCDS management
5 years Post Graduate or more with experience in the OTC or pharmaceutical industry working in Regulatory Affairs
Experience in safety variations is valued. Previous experience in working with CCDS development, maintenance or implementation would be advantageous
Strong written and verbal communication skills & attention to detail are crucial
Proven ability to work effectively in a matrix environment on cross-functional teams and to facilitate decision making in collaboration with others
Experience in project Management would be advantageous as well as experience in managing complexity and interacting with multiple markets

Manager, Regulatory Compliance for Wrigley Resume Examples & Samples

Participates in cross-functional and cross segment project teams to provide strategic Scientific and Regulatory Affairs advice, anticipates regulatory issues and works with legal counsel, consultants, suppliers, and trade associations and external partners to clarify and resolve these issues
Provides leadership for compliance activities in assigned markets to ensure adherence to internal compliance processes and practices, and continuously reviews and improves these processes and procedures
Has responsibility for assuring ingredients, formulas, labelling, and packaging are in full compliance with laws and regulations in countries where they are sold
Has responsibility for assuring claims are in full compliance with laws and regulations in the countries they are made
Proactively monitors regulatory activities in assigned markets; works internally (including with cross-segment Mars partners) and externally to address and influence proposed regulations to preserve Wrigley’s freedom to operate
Develops SRA positions regarding the safety and acceptability of products and ingredients, and leads activities to ensure both the continued use of ingredients and gain approval for new ingredients in assigned markets
Prepares and submits documentation to regulatory agencies and other external bodies required to substantiate and approve claims
Represents the company externally in trade and scientific organizations to address industry issues and ensure company positions are communicated
Leads complex and strategically important SRA projects, some with global scope and impact
Mentors and may supervise the day-to-day activities of junior level associates on team
Performs other regulatory related assignments as needed

Manager, Regulatory Compliance Resume Examples & Samples

A minimum of a High School diploma is required. Bachelor’s degree or equivalent preferred
A minimum of 8 years of related experience and/or training, or equivalent combination of education and experience, is required
Experience working in a regulated GMP environment is required
Prior experience and knowledge of controlled substance regulations is preferred
Previous experience communicating across all levels of an organization is preferred
Previous auditing experience is required
Familiarity with Quality System Regulations is required
Previous experience managing investigations is required
Previous experience resolving CAPAs required
Previous exposure to DEA audits is preferred
Previous experience with notified body audits is strongly preferred
This position is located in Vacaville, CA and may require minimal travel.Compliance

Manager, Regulatory Compliance Resume Examples & Samples

Being the outsourcing team’s regulation expert for all post execution trade regulations
Working with the account managers in the team, their clients and prospective clients including in sales presentations and during implementation) to explain the impact of regulations on them and the practical solutions that SS&C offers or will need to build to achieve those
Ensuring the exiting services to clients that meet regulatory requirements, are robust and are achieved each day e.g. daily EMIR reporting to trade repositories; this will include taking the lead where issues arise
Advising on and devising servicing solutions to meet regulatory changes on existing regulations processes e.g. on confirmation timings, portfolio reconciliation, reporting to trade repositoriesfor EMIR etc
Keeping an eye on the development of future regulation changes such as MIFID II and proposed SFT regulation and for communicating that to the team and clients and making preparations in advance to ensure we have the solutions in place to enable our clients to comply in time
Providing expertise to the team, existing clients and prospects in regulatory matters and reporting requirements for a variety of trades including equities, bonds, FX, repo, exchange traded and OTC derivatives
Ensuring all lifecycle management processes are compliant with all applicable regulation e.g.including MIFID II and EMIR etc
Anticipating the future regulatory needs for servicing post execution lifecycle events and report for our clients. Creation of new solutions for requested services or changes to services using the technology and the resources available
Attend relevant industry events
Reducing process risk for the processing team in India for regulatory solutions and guiding them toward controlled, robust procedures on the activities done for the clients
Handling client issues relating to regulatory services including improvements, changes to the service, new business, operational issues and complaints
Contributing to senior strategic and service reviews with clients as necessary
Overall responsibility for the performance of regulatory reporting services
Responsibility for the implementation of new clients on to the regulatory platform, the set up of servicing teams and the smooth running of day to day regulatory servicing
Working with technology and other servicing groups on projects to change or devise solutions for regulation needs
Regulation of trading and post execution processing / reporting requirements: MIFID I and II, EMIR, IOSCO BCBS, SFTR etc
Post execution middle office lifecycle management of traded instruments and OTC Derivatives
Responsibility for the integrity of regulation based processes and the daily regulatory reporting for all the teams’ clients
Project involvement with IT developers and operations experts
Good client and prospect communications experience with excellent presentations skills and a high standard of written work
Dealing with operations units in separate locations
Education the team on existing regulations and future proposals
Due to global nature of our clients the candidate will need to have an understanding of equivalent regulation abroad e.g. Dodd Frank or requirements in Australia
Experience of working effectively directly with clients, with expert client account managers and with remote operations teams
Flexible presentation skills and be personable, persuasive, cooperative and authorative
Post graduate Degree

Program Manager, Regulatory Compliance Resume Examples & Samples

Participates in site and/or regional PD Regulatory Disclosures departmental meetings
As needed, advises as an ad hoc member in Regulatory Affairs Functional Teams (RAFT) for assigned product development projects. Represents Regulatory Disclosures and supports effective and efficient cross-functional PDR coordination, appropriate resources, and timely, thorough and compliant execution
As assigned, may act as a standing or ad hoc member of other teams for special or ongoing initiatives and projects

Senior Audit Manager, Regulatory Compliance Resume Examples & Samples

Minimum of ten years proven and progressive audit, business, and/or accounting experience or equivalent; substantial experience performing AML audit required
Minimum of a bachelor’s degree in business, accounting, finance, related field or equivalent experience
Strong managerial skills, written and verbal communication skills, analytical, problem-solving, organizational, lateral thinking and interpersonal skills
Broad knowledge of the Company, Group and financial services industry, business supported and the regulatory framework they operate in
In-depth understanding of the business, risks and related controls within areas of responsibility
Ability to apply technology or expertise to business issues or operational problems
Professional certification (s) preferred

Regulatory & Product Compliance Manager Resume Examples & Samples

3-5 years of experience with import/export consumer product safety compliance program management
Strong experience with Canadian Consumer Product regulations preferred, CCPSA. US and Mexico also apply: CPSIA, Profeco, IEFTL
A mix of compliance, team leadership and project management experience
Preferred qualifications
Common sense, great judgment, and a good sense of humor

Manager Regulatory Compliance Rbwm Hifc Monitoring Resume Examples & Samples

Minimum of 5-7 years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent
Mutual funds and Branch Managers Course (IFIC, ICB or CSI). CFP or financial planning knowledge is considered an asset
Proficiency with personal computers and pertinent mainframe systems, software packages, Word and Excel

Manager, Regulatory Compliance Resume Examples & Samples

Interpret and apply regulations to existing Hologic products to ensure compliance with these regulations in all OUS sites, dealers and distributors
Define, execute, monitor, collate, and publish audit schedules in coordination with divisional and corporate quality compliance teams
Participate in global quality compliance teams and support implementation of harmonized procedures
Ensure adherence to the company quality audit schedule in international sites
Manage international employees’ compliance with current corporate training requirements
Provide monthly reporting to regional and international management on the status of internal and external audits, open actions, overdue activities and future audits
Interface with Hologic employees, dealers and distributors regarding quality compliance activities
Interact with regulatory agencies in regards to audits and responses until closure
Provide training to international employees on audit management
Advise and guide management and other personnel in other departments on the interpretation and application of regulations impacting compliance activities
Maintain current knowledge of current and proposed regulations, laws, guidelines standards, and initiatives. Assess impact and disseminate throughout the organization for continued regulatory and quality compliance
Develop staff skills, abilities, and experiences for succession
Bachelor or equivalent in biological sciences, life sciences or related discipline with the required skills, knowledge and abilities that are typically acquired through a minimum of 7 years’ experience in the in vitro diagnostics, medical device or pharmaceutical industries; with at least 4 of those years in a wide breath of compliance roles
Must have certification as an ISO Lead Auditor
Must have experience interfacing with competent authorities regarding audit activities and resolution of observations
Must have advanced knowledge of applicable regulations and standards related to medical devices internationally (ISO 13485, Medical Device Regulation, Anvisa, CFDA, etc.)
Comfortable leading in a high pressure environment typical of regulatory audits
Ability to independently plan, execute, and/or problem solve moderate to complex situations
Ability to exercise judgment within generally defined practices and policies in selecting methods and techniques for obtaining solutions
Must demonstrate initiative, balanced assertiveness working as a team player
Solid oral and written communication skills with ability to communicate effectively and professionally with medical personnel
Regularly required to sit
Regularly required to use a computer keyboard, mouse, and monitor
Regularly required to talk and hear
Occasionally required to walk to meeting locations
Required to use close vision and adjust focus
Work is performed primarily in an office environment
Travel expected not to exceed 5%

AVP Manager Regulatory Compliance Assurance Resume Examples & Samples

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. Assists and works alongside other members of the team and makes decisions based on knowledge and experience. When unsure, guidance should be sought from Immediate Supervisor or specifically assigned Review Lead on assignment. Interacts effectively with all levels of Compliance teams and the businesses they support as warranted. Acts as part of a team which will conduct assurance reviews on all second line of defense compliance functions within the U.S. Has the ability to learn and work effectively in a dynamic and changing environment. Acts proactively and develops and suggests ideas for enhancements to the team's activities
No supervisory responsibilities
No P&L responsibilities
Minimum five to seven years proven and progressive compliance and/or audit experience, preferably in the financial services sector; experience in both audit and compliance is a plus
Proven ability to learn and understand new areas and concepts in a short period of time
Ability to perform job responsibilities in a newly formed department

Senior VP-real Estate Regulatory & Legal Compliance Manager Resume Examples & Samples

Takes ownership of work streams for the annual preparation of the bank’s recovery and resolution plans related to its occupied locations
Familiarity (or exhibit the ability to quickly develop an in-depth familiarity) with Citi’s businesses, operations, legal entities, global real estate portfolio and continuity of business plans
Ability to interpret and translate information from multiple parties into detailed, comprehensive project plans
Ability to consider multiple approaches, reconcile competing corporate interests and prioritize objectives
Ability to interpret data, analyze financial, operational and legal input
Ability to drive project objectives
Strategic and analytical thinker
Strong problem solving ability
Strong oral and written communications skills; proficiency drafting and understanding complex documents preferred
Keen program management skills and collaborative leadership abilities
A high comfort level with working in a fast paced, unstructured, unpredictable and frequently changing environment

Regulatory Compliance Implementation Project Manager Resume Examples & Samples

Develop detailed project plans and monitor and track progress
Manage changes to project scope, schedule and costs
Assist in the definition of project scope and objectives, involving all relevant stakeholders
Assist in design, build and reporting of appropriate KPIs on project effectiveness
Create and maintain comprehensive project documentation
Coordinate internal resources and third parties/vendors for project execution
Report and escalate to management as needed
Proven work experience in project management in an investment bank or other financial institution. Focus on regulatory implementation projects preferred

Product Manager Regulatory Compliance Analytics Resume Examples & Samples

At least 7 years’ experience in banking
At least 3 years’ experience in compliance, internal audit, GRC or risk
At least 3 years’ experience as a business analyst / writing business requirements
Ability to take a high-level concept, solidify it and communicate it to a non-subject-matter-expert team
Interest in software development on the cloud
Readiness to travel 15% travel annually
At least 10 years’ experience in compliance, internal audit, GRC or risk
Experience working with software development teams to create new software products
Exposure to agile development processes
Exposure to cognitive computing
Master's Degree / PMP (Project Management Professional)

Distribution Strategy Compliance & Regulatory Oversight Group Manager Resume Examples & Samples

Manage and provide leadership of ADA compliance oversight and OCC approval process for CBNA Distribution Strategy function in North America
Drive strategic agenda and collaborate with key business partners in CRS, CRA, ATM strategy, Fair Lending and Community Development, and other control teams to insure proper oversight of retail real estate related legal /compliance matters and improve controls
Work closely with internal and external legal teams to timely address ADA compliance issues in branch portfolio, review customer and staff concerns, and insure that customer complaints are responded to appropriately
Oversee life cycle of issue management and resolution closure team
Establish and oversee budget planning for remediation measures
Oversee team that monitors and self identifies issues and raise CAPS as required, and oversee MCA reporting and monitoring of issue management status
Stay abreast of compliance and regulatory requirements. Synthesize and disseminate to leadership team as appropriate
Drive oversight of issue management and resolution and work with partners in establishing corrective action plans, implementation and completion
Identify optimal strategic solutions for ADA compliance issues to meet Citi's requirements, satisfy appropriate regulations, and insure functional branch operations
Institute regular reviews to track and monitor issues and progress
15+ years of experience in financial services industry
Bachelor’s degree required; Legal background preferred, Juris Doctor degree a plus
Good judgment and ability to identify issues and prioritize
Must have understanding of business objectives
Effective team leader with strong negotiation and communication skills
Ability to navigate across matrix organization and drive results through influencing of internal and external partners

Manager, Regulatory Compliance Resume Examples & Samples

Functional responsibilities include internal audits, 3rd party inspection readiness and management, and Quality System compliance training programs
Lead and participate on cross-functional and global teams representing key stakeholders in developing and managing policies, standards, and procedures. This includes developing procedures and practices that can be deployed globally
Partner with JJVC sites and related organizational units to ensure that regulatory compliance procedures are compliant, effective, and efficient. Utilize stakeholder input to ensure that the overall enterprise objectives are achieved
Represent JJVC on JJRC teams and working groups. Provide input into segment initiatives. Interpret and integrate resulting segment policies and standards into JJVC global operations
Manage FDA and other governmental or ISO Notified Body inspections conducted at JJVC locations, including pre- and post-inspection support, as requested. Serve as company representative during regulatory inspections. Support activities may include actively and directly interacting with inspectors/auditors, obtaining required information, and assisting with corrective action and/or remediation plans, as necessary
Manage associated assessment and remediation activities as a result of internal and external assessments. Align and deploy JJVC Quality System procedures (worldwide) in accordance with segment and enterprise standards
Consult with management, manufacturing, R&D, and laboratory staff to help formulate and implement proactive regulatory compliance strategies and controls
Maintain a leadership presence with government regulators and external professional organizations in order to monitor and influence regulatory issues. Interpret and integrate regulatory changes (FDA/ISO/ ANVISA/JPAL/CMDCAS, etc.) into franchise procedures
Develop and maintain key quality and regulatory compliance performance metrics. Participate in developing and presenting departmental materials for Management Review
Actively participate in continuous improvement efforts for global continuous improvement activities
Supervises staff responsible for the preparation and presentation of regulatory compliance training materials for regulatory, quality, technical, and managerial personnel
Promote a culture of compliance to regulations, standards, and procedures and risk management throughout the organization. Support departmental objectives, while adhering to the Johnson and Johnson Credo, as well as local safety and environmental policy and procedures. Direct, supervise and train staff of Compliance Specialists/Auditors
Manage and lead assessments, analyses, alignment, and implementation activities for regulatory compliance procedures across the organization and provide directional input into segment and enterprise standards
Direct, supervise and train staff. Develop and monitor development and training plans
Assist project teams with identification of quality system requirements to ensure compliance with regulations
Acts as liaison with external auditors during third party/regulatory audits
Monitor regulatory agencies for changes in requirements and evaluate impact to the organization
A minimum of a Bachelor's degree is required; a degree in a technical field is preferred; an advanced degree is an asset
A minimum of 8+ years of business experience is required
A minimum of 4+ years of working experience in the quality assurance / compliance audit environment is also required
Proven track record of successfully leading and/or facilitating FDA inspections, both front room and back room is required
The ability to effectively manage people (both directly and indirectly) is an asset
Experience managing projects that include cross-functional teams representing diversified areas is preferred
Strong communication, organizational, negotiation and interpersonal skills is required
A certification in RAC, ASQ - CQA, CQE or SCQE, and/or ISO Lead Assessor is an asset
Understanding and knowledge of a broad set of regulations and standards (21 CFR 820; 21 CFR 210/211; ISO 13485; ISO 9001; Canadian CMDCAS; Japanese PAL; 21 CFR 50, 54, 56, 58; 21 CFR 812 and 814; ICH GCP Guidelines, etc.) is required
This position may require up to 15% domestic and international travel and will be based in Jacksonville, Florida

SVP Regulatory Compliance Senior Manager CMB Resume Examples & Samples

Ownership of the “Banking” regs aligned to CMB (Core Lending and Deposits, distinct from Securities regs impacting CMB)
Coverage of all related CDSAs - ensuring timely completion, accuracy and meeting of “minimum standards”
Support for completion of aligned PRAs (Product Risk Assessments), ensuring timely completion and connection to business activities
Input to and accountability for relevant sections of the ERA, using CDSA data and highlighting business, industry and market trends
Primary advisory support to LOB operational, 1LOD functions and other risk stewards, including
Marketing reviews
Cross Border activity
Product reviews (CMB, non-referral products)
Third Party Risk Management
The number of direct reports varies from 0-15, depending on the area supported
Some P&L responsibilities, as distributed

Manager, Regulatory Compliance Resume Examples & Samples

5+ years of finance/banking experience with risk experience, preferably at a managerial level
3+ years of managerial experience, which includes placement, work direction, coaching, and performance management
Deep understanding of regulatory principles and relationships in the financial services industry
Understanding of credit management
Knowledge of unit processes and operations
Experience effectively interacting with regulatory bodies (i.e. Federal Reserve, OCC, etc.)
Effective writing skills, including grammatical usage, persuasive copy and style
Strong planning and organizational skills

Regulatory Compliance Risk Manager Resume Examples & Samples

Defines Allstate Financial’s (AF) Regulatory Compliance Risk and Return Management objectives and assists in the development of the risk management strategy
Drives overall risk return management efforts across AF by leveraging credibility as an expert in regulatory compliance risk management knowledge and through strong relationships to collaborate with operational and insurance risk leadership
Performs operational risk assessments and influences proper managing, monitoring, reporting, and escalation structure to optimize risk and return
Provides extensive expertise and project/process management to AF programs
Designs and implements improvements to current AF Programs to ensure compliance systems/processes are optimal
Researches, interprets, and analyzes trends and sources of risk across AF portfolio and leverages information to advance risk / return decision making
Implements reporting, monitoring, and escalation procedures to ensure that AF is operating within its defined risk appetite
Provides thought leadership in managing various programs, including establishing priorities and key measurements to inform on emerging risks
Lead various cross – functional teams to optimize program managements in pursuit of managing within risk/return principles and tolerances
Interacts with senior management and ability to present complex matters
7+ years of experience; Bachelor’s Degree Required
Life insurance knowledge strongly preferred
Advanced knowledge of professional and regulatory standards
Exceptional customer service and drive innovation to create an atmosphere supports new ideas, efficiency and initiative
Innovative thinking to identify and influence process improvements
Strong communication and collaboration skills
Ability to and desire to move from project to project quickly learning while adding value to the project team and the business
Develop and/or revise tactics to support changing business strategies and direction
Decision making capabilities including problem solving approaches, decision frameworks; ability to design and lead complex analysis
Structure documents to effectively communicate with senior management and drive leadership alignment
Excellent presentation skills; dynamically (persuasively) presenting ideas to management
Advanced ability to manage multiple priorities given aggressive timelines; comfortable performing in a fast paced, dynamic and ambiguous business environment
Experience with leading employees and developing staff

Internal Audit Manager, Regulatory Compliance Resume Examples & Samples

Minimum of 6 years related audit and/or compliance experience
Working technical knowledge of major Consumer protection laws and regulations such as TILA/Regulation Z, Consumer M/ Leasing, ECOA/Regulation B, FCRA, FACTA, FDCPA, SCRA, BSA/AML, OFAC, EFTA, UDAAP, and GLBA
Demonstrated strong project management skills and organizing ability with successful experience in concurrently managing multiple projects at varying levels of technical difficulty
Knowledge of business and IT processes and how they intersect with compliance risks
Knowledge of US GAAP, SEC reporting requirements, COSO, Standard No. 5, custom attestation and agreed upon procedure engagements, IIA standards and audit processes and procedures, a plus
Public accounting and/or start-up experience, a plus
Oracle, ACL, and SQL knowledge, a plus
Technology and/or vehicle leasing specific industry experience, a plus

Manager, Regulatory Compliance Resume Examples & Samples

Accessing legacy accounting systems
Assisting in the preparation of cumulative allowable cost worksheets and providing support documents as requested by the auditors
Preparing incurred cost submissions, cost accounting standards disclosure statements, indirect rate analysis and drafting responses to government audit reports
Provide financial analysis and support in an audit liaison role with the government contract auditors
Minimum of 5-10 years of relevant work experience
Bachelor’s degree in Accounting, Business Admin or related field is required
Fundamental knowledge of Cost Accounting Standards (CAS), Generally Accepted Accounting Principles (GAAP) and the Federal Acquisition Regulation (FAR)
Good communications skills , including the ability to maintain an effective and professional working relationship with government representatives
Strong computer skills including MS Excel, MS Access, MS Word and Cognos
Working knowledge of Deltek CostPoint or similar accounting platform

Manager, Regulatory Compliance Resume Examples & Samples

Provide primary analysis of proposed rulemakings that are likely to have a significant impact on the company’s business units and develop recommendations for appropriate compliance strategies
Coordinate corporate, group, and divisional regulatory compliance efforts in the hazard management arena
Audit the company’s hazard management and loss prevention programs through continual review of policies, procedures, rules and guidelines; determine potential for environmental liability issues
Facilitate the development of appropriate compliance plans and make recommendations to improve overall program effectiveness using annual loss prevention plans, risk surveys, reports/audits developed by outside agencies, and other available sources of information
Assist with the implementation of programs and procedures that assure compliance with DOT regulations at affected facilities; supervise the day-to-day activities of the DOT Compliance Administrator
Maintain the company’s Process Safety Management and Risk Management Programs. Ensure all regulatory requirements have been satisfied and necessary actions have been taken at all applicable facilities to maintain compliance
Coordinate the Process Hazard Analysis function and the Management of Change program; ensure proper execution by all applicable parties
Ensure ongoing compliance with hazardous waste management matters at all affected facilities. Coordinate all disposal activities and recordkeeping and reporting requirements
Coordinate the completion and filing of all required regulatory reports, including annual chemical inventories (Tier II), toxic releases (Form R), pesticide repackaging, and USTs, among others
Maintain certifications and other records necessary to demonstrate on-going compliance with federal, state, and local health, safety, and environmental protection rules and regulations
Serve as a resource to management, supervision, and the workforce in order to assist them in effectively performing their regulatory compliance and other hazard management tasks

Associate Manager, Regulatory Compliance Resume Examples & Samples

Write or update key guidance documents for management of CCDS applications/reviews for regional and local roles. Communicate and familiarize the stakeholders with the guidance docs
Maintain timely and regular alignment with the Global CCDS team and the served regulatory management for all aspects of CCDS updates and submissions to the relevant Authorities
Liaise with Medical Affairs colleagues to support the creation of local or regional Clinical overviews supporting the safety submissions, where relevant
Liaise with local, regional & global regulatory colleagues to support the CCDS driven safety submissions
Regional monitoring & tracking of CCDS/safety submissions
Regional Coordination and Project management of major safety changes and Health Authority commitments
To be trained in and remain compliant with appropriate Company Operating Procedures
To deliver training across APAC in relation to the optimal CCDS management
Other regulatory affairs compliance job-scope as required to drive & support the protection & growth of JNJ consumer business

Manager, Regulatory Compliance Resume Examples & Samples

Possess working knowledge of Cost Accounting Standards (CAS), Generally Accepted Accounting Principles (GAAP) and the Federal Acquisition Regulation (FAR) cost principles as they apply to practices and procedures
Provides recurring updates to management on current audit assignments and projects in process
Assists in the investigation and resolution of compliance problems, questions or complaints received from government regulatory agencies
Assist in the preparation of the annual incurred cost audit submission and subsequent audit support of previously prepared submissions
Prepare draft contractor responses to contract audit reports and other regulatory compliance related matters
Prepare draft policies and procedures, or revisions to existing documents
Possess the ability to use a variety of electronic business and software tools to obtain, organize, and present relevant business data for management
Participate in the compliance training program as an instructor /content manager
Participate in meetings with Defense Contract Management Agency (DCMA), and Defense Contract Audit Agency (DCAA) representatives
Five (5) to ten (10) years of relevant experience with government contract accounting experience
Knowledge of Federal Acquisition Regulation (FAR), including the allowability, allocability and reasonableness of costs
Working knowledge of Deltek CostPoint
Possess the ability to work with the various internal functional groups including accounting, legal, human resources, contracts, pricing, accounts payable and internal audit
Strong understanding of the Cost Accounting Standards (CAS) and areas subject to audit by DCAA at a major contractor location
A Certified Public Accountant and/or advanced degree is desirable

Enterprise Global Regulatory Compliance Delivery Manager Resume Examples & Samples

Ability to work in a fast pace environment
Ability to distill complex issues into meaningful directive communications
Experience planning and managing projects/programs that are resourced and executed by geographically-dispersed teams
Experience leading technology infrastructure projects
Experience working with software and security development lifecycles
Demonstrated excellence in communicating and presenting complex information to technical and non-technical stakeholders, both verbally and in written form
Understanding of project/program financials (e.g., budgeting, assessing financial impact, working with financial analysts)
Knowledgeable of at least one software development methodology (e.g., Agile, Scrum, SDLC, Waterfall)
Knowledgeable of Microsoft platform technologies and tools
Clear and concise oral and written communication
Proven skills in stakeholder expectations management
Results oriented; self-directed ability to drive change in unstructured environment
Business and financial acumen
Customer-oriented attitude, with great presentation and interpersonal skills
Knowledgeable of enterprise global regulatory compliance requirements, technologies and tools
Experience with RSA Archer or other eGRC platforms and technologies
Experience with security incident management
Experience with vulnerability management technologies (e.g., Qualys, Rapid7)
Experience in several of the following areas: infrastructure solutions (especially Microsoft); hardware/software installation, virtualization, configuration; web server support; cloud technologies; networking; data center operations; platform migration; enterprise directories; Exchange; IIS; Windows Server; SQL Server; SharePoint
Experience with operation management, systems security, testing, data storage, (remove – databases), application development, machine learning and mobility considerations
Experience with security practices for cloud (PaaS and SaaS) environments

Senior Manager, IT Regulatory Compliance Resume Examples & Samples

A minimum of a Bachelor's Degree in Science required with a focused degreed in IT, Engineering, Business, and Quality & Regulatory Compliance related discipline is preferred
A minimum 7 years of progressive experience in managing all aspects of Quality and Regulatory Compliance in an international, global context, in a regulated healthcare environment is required
Expert knowledge of Quality System regulations, ISO, ICH, PIC/S, and cGMP regulations, including Annex 11, 21 CFR Part 11, Part 210, Part 211 and Part 820, and how these apply to Computer Systems is required
Expert knowledge of IT internal controls, SDLC methodologies, GAMP5, data integrity requirements is required
Experience effectively interfacing with global regulatory agencies, e.g., FDA, MHRA, TGA, notified bodies, etc. is required
Experience interpreting regulations and translating regulatory requirements into practical strategies is required
Ability to influence, negotiate, and build credibility is required
Ability to resolve complex regulatory compliance issues is required
This position will be based in Raritan, NJ and requires up to 20% domestic and international travel.Compliance

Senior Manager OTC Consumer Regulatory Compliance Resume Examples & Samples

Proactively identify, prioritize, and communicate compliance risks at assigned site
Assess compliance and quality risk management programs to assure they are implemented and maintained at the site
Collect and review data to identify compliance signals that warrant attention
Communicate/Notify site, and where appropriate segment/enterprise, leadership of compliance risks
Assist with the mitigation of compliance risk at the manufacturing site
Assure the execution of the JJRC common practices for independent Audit, Escalation (within JJRC), Recovery, Post Acquisition Assessment, Internal audit Oversight and Inspection Support & Readiness
Ensure timely follow-up of ERC assessments CAPA plans. Work with organizations in region to achieve green/green status against approved CAPA plans
Provide Compliance oversight to strategic projects/initiatives
Engage in product lifecycle management process and key supply chain improvement projects (e.g. key new product launch, significant changes, etc.)
Engage with McNeil global process owners on key quality system process changes
Lead/Support site in preparing for Health Authority (HA) inspections (including Pre-Approval inspections), assist sites during HA inspections and with any resulting compliance commitments
Monitor issue resolution progress and identify emerging shortfalls and risks for management notification
Perform periodic review of quality records, such as investigations, CAPAs, and complaints
Provide compliance advice to Sites for critical issues and problem resolution
Actively participate in site escalations and support crisis management
Review investigations with high regulatory potential, including those associated with FARs & recalls
Perform review of all Health Authority communication
Support applicability assessments of cGMP and other Health Authority regulations to site
Consult with site leaders for the escalation and resolution of Quality and Compliance issues
Ensure alignment of US OTC policies and standards for the strategic alignment with of J&J and Consumer segment policies and standards
Provide proactive regulatory insight into new and upcoming regulations
Participate in the Siten project/management review forums (e.g., Quality Councils) to uphold effective risk identification and management, quality system evaluation, and appropriate response to issues
Partner with Compliance peers across sites, Consumer segment and Enterprise regulatory functions for strategic consistency and leveraging opportunities
Maintain personal professional development on new/upcoming requirements and technologies
This role may participate in the deployment of J&J Regulatory Compliance processes within the North America region, including but not limited to the closed-loop audit program, QScan, review of regulatory agency communications, significant inspection follow-up, and metrics collection and reporting
Working conditions require resolution of complex problems within tight timelines
A minimum of a Bachelor’s degree is required. An advanced degree is preferred. A focused degree in science, engineering, or equivalent is strongly preferred
Minimum of eight (8) years of experience in a quality and/or compliance environment within a highly regulated industry is required
Understanding of requirements for compliant drug and medical device manufacture including facilities, equipment, documentation, testing, and product flow is required
Strong knowledge of quality and compliance in a regulated manufacturing environment (GMP) is required
Experience with or how regulatory bodies approach inspections and how to respond to regulatory body observations is required
Knowledge of regulatory and development process (both pre-approval and post-launch monitoring) and scale-up is preferred
Working knowledge of New Drug Regulations and GxP/Quality System Regulations is preferred
Working experience in a Consent Decree environment is preferred
Experience working with statistics, analytics and data trending is preferred
Experience managing multiple, highly complex projects is preferred
Previous experience working inside a regulatory agency (i.e. FDA, MHRA) is preferred
Proficient with MS Office products (Word, Excel, PowerPoint, Outlook, Visio) and visual aid software is required
May require up to 30% local and global travel, with higher peaks depending on business needs.Compliance

Manager, Regulatory Compliance Resume Examples & Samples

Lead a team in the divisional regulatory compliance process focused on Medical Device Reporting and Medical Device Vigilance Reporting. Ensure overall compliance with applicable global regulatory and statutory requirements regarding MDRs/MDVs. Manage product containment oversight for multiple manufacturing locations in the division
Correspond with the FDA and global health authorities regarding regulatory reporting issues. Oversee correspondence with USA and global regulatory bodies
Manage the divisional regulatory reporting process for MDRs/MDVs to ensure overall compliance with applicable regulatory and statutory requirements
Contract and manage group of medical professionals for assessment of harm severity
Oversee communications with global health authorities regarding adverse events, , and other queries regarding compliance
Manage work team performance, including individual performance coaching and delivery of period performance feedback/reviews
Maintain expert knowledge of applicable Federal and foreign regulations pertaining to MDRs/MDVs, and complaint handling
Continue to assess and align the divisional processes with corporate policy, guidance, and procedures

Manager Regulatory Compliance Resume Examples & Samples

Assist with the development of a hospital-wide regulatory compliance program specific to healthcare
Facilitates implementation of federal, state and local requirements, including Joint Commission requirements, related to patient safety
Implements monitoring programs to ensure compliance
Responsible for coordinating those systems necessary for planning, implementing, monitoring and evaluating the hospital’s continued compliance with regulatory standards outlined by federal, state and local statutes
Collects, analyzes, and trends regulatory compliance data to assist in the development and implementation of improvement initiatives as appropriate
Communicates with senior management and medical staff as necessary to ensure staff is informed on regulatory and safety issues
Responsible for coordinating accreditation survey activities and ensuring staff and physicians are knowledgeable as to their survey responsibilities
Provides tools to managers, directors and staff for continuous survey readiness
Coordinates patient safety programs for orientation, mandatory education and other education as required by applicable regulations

Manager Regulatory Compliance Global Compliance MI Resume Examples & Samples

Minimum of 5 years proven and progressive financial services operations, compliance or legal experience or equivalent
Bachelor’s degree in business, related field or equivalent experience
Strong organizational, planning, interpersonal, management, negotiation, consultative and verbal and written communications skills
Understanding of all significant regulatory compliance requirements applicable to the assigned business(es) and pertinent Group policies and external regulations affecting their activities
Proven ability to accomplish high-level objectives in the context of annual business and compliance plans

Finance & Risk-regulatory & Compliance Senior Manager Resume Examples & Samples

Minimum 5 years of Risk & Regulatory Compliance experience within the Banking, Capital Markets and/or Insurance industries (e.g., Basel Accord, Dodd Frank, FBO, FINRA, SEC, CCAR, etc.)
Minimum 3 years of prior Risk & Regulatory Management Consulting experience focused on the Financial Services industry required. Recent experience highly desirable. Experience must include
Solid understanding of front and back office operations
FS Risk Operating models and/or Compliance Standards within the Financial Services industry
Compliance process design and re-engineering
Significant engagement management as well as business, practice, and people development
Minimum 3 years of Management Consulting experience focused on Regulatory & Compliance and the Financial Services industry required. Recent experience highly desirable
Demonstrated ability to understand client needs, translate business needs into requirements, develop proposed solutions, and deliver high impact change initiatives
Demonstrated experience working through organizational change, with a demonstrated track record of continuing responsibilities, creativity and innovation, including evidence of solution design
Strong project management skills (e.g., defining scope, setting project timelines and milestones, driving deliverables, identifying risks, and solving issues)
Experience leading a project team (sometimes concurrent) of least 3 resources, including an understanding of team strengths, the ability to coach, develop and inspire others
Demonstrated insights on key methodologies, approaches and market trends in the industry
Strong competence in developing presentations required (MS Office (Word, PowerPoint, Excel))
Experience with Risk and/or Compliance technology vendors
Prior experience qualifying potential opportunities and negotiating complex deals desirable
Demonstrated ability to concurrently handle dynamic consulting workstreams and/or projects
Ability to navigate unstructured processes and to simultaneously lead multiple workstreams
Ability to work collaboratively and independently while overseeing multiple projects, assignments and/or responsibilities
Strong problem-solving and troubleshooting skills with the ability to exercise mature judgment and structured decision-making

Manager, Regulatory Compliance Management Resume Examples & Samples

Lead and manage the RCM Program including identifying and addressing any process and control gaps, to meet Enterprise RCM Standards and ensure that Wealth remains compliant with regulatory expectations. Provide reporting for global Wealth
Responsible for identifying, mapping and documenting all key controls and processes to the regulations inventory for Wealth businesses. For certain businesses, this will include providing oversight with respective business risk functions
Manage the Wealth regulations to business control mapping for any ongoing business or regulatory changes
Lead stakeholders in the resolution of any material regulatory control gaps/changes and ensure consistency in processes and controls across businesses especially within the same legal entity
Execute the regulatory change process for Wealth
Review new and proposed regulatory changes, perform gap assessments and identify impacts to Wealth. This includes developing consistent effective procedures to meet regulatory changes
Support the completion of ad-hoc regulatory requests and surveys within tight timelines
Draft key documents including mandates, policies and associated procedures as required, ensuring appropriate coordination and communication with stakeholders
Assess and address impacts and gaps related to any changes in the Compliance Manuals
Be a subject matter expert on regulatory compliance requirements and industry best practices related to Wealth businesses
Support process improvement initiatives ensuring regulatory compliance requirements and controls are appropriately considered and implemented
Establish strong relationships and maintain an interaction model with business partners, WSS colleagues, GAML, Privacy, Legal and Compliance
Support ad-hoc analysis and impact assessment on emerging regulatory compliance risks

Regulatory Compliance Global Assistant Manager Resume Examples & Samples

Subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US. Serves as the central point of contact for US
Compliance and oversees the accuracy of the information regarding the regulation in the risk assessment tools while serving as the advocate for consistency for controls
Internal Audits and provides input into the action plans to address any weaknesses identified. Ensures remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks
Five to seven years proven and progressive regulatory compliance and/or legal management experience or equivalent
Knowledge of regulatory state licensing and registration requirements a plus
Proven experience managing regulatory relationships and examination management experience
Strong communications, analytical, interpersonal, organizational, project management, document production and planning skills

Manager, Regulatory Compliance & Toxicology Resume Examples & Samples

Initiate the creation of EU PIF documentation including authoring and approving CPSA sections 1 and 2 for use in international markets for registration of products
Coordinates specifically with international distributors to ensure that they have the necessary documentation to properly register the product in the distributors’ jurisdiction with necessary government agencies such as the Ministry of Health in the country or countries the distributor sells to
Assists in the updating of the internal formulation database to include all necessary hazard and safety information on individual chemicals used (by CAS number) in Hain product to assure that accurate Safety Data Sheets can be produced for all products manufactured. Additionally working with third party co-packers to obtain sufficient information to populate this database with information on the materials manufactured by these third parties
Acts as the internal toxicological expert to assist the corporation more generally in all aspects of the business, including but not limited to, claims support, substantiation of claims, and review of materials for other groups such as the food teams
Works with Package Engineers and Purchasing personnel to ensure that there is sufficient information on the primary packaging materials to fulfill all requirements from the international community where Hain products are sold (EU, Asia, LatAm, Middle East) regarding such topics as the materials used and potential of packaging materials leaching into the product
Bachelor’s degree required in either toxicology or closely related science required; Graduate degree and current Cosmetic Product Safety Assessor accreditation strongly preferred
Knowledge of the requirements for documenting items in international jurisdictions where Company’s products are currently sold (i.e.)
Excellent organizational skills, ability to prioritize multiple priorities and strong attention to detail
Computer skills including MS Office programs such as Outlook, Word, Excel PowerPoint
Strong interpersonal skills and ability to communicate (verbal/writing) effectively
Self-motivated and strong analytical / problem solving skills
Ability to collaborate at all levels of the organization and across other functional areas, including multidisciplinary international teams
Ability to maintain a high level of confidentiality
Preferred knowledge of the Consumer Product Goods Industry
Work with minimal supervision execute for results in a fast paced environment
Ability to empower, motivate and inspire staff
Previous supervisory experience a plus
Ability to lead change and execute on strategic decisions

VP Regulatory Compliance Global Manager Resume Examples & Samples

Knowledgeable about the results of any relevant BRCM reviews, CTAC testing and
Articulates any control weaknesses and status of plans to address these across HNAH
Initially, this information will be part of the RCR Controls remediation Project for each regulation
7+ years proven audit, compliance, financial services and/or regulatory experience, or equivalent
Minimum of a Bachelor’s degree in business, related field or equivalent experience
Master’s degree and/or Juris Doctorate (JD) preferred
Proficiency with personal

AVP Manager Regulatory Compliance Resume Examples & Samples

Under the direction of a more senior officer, serves as a subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US
Is knowledgeable about the results of any relevant BRCM reviews, CTAC testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Provides support to ensure remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks
Assists management in articulating any control weaknesses and status of plans to address these across HNAH. Initially, this information will be part of the Regulatory Controls Review (RCR) Controls Remediation Project for each regulation
This role typically reports to a VP or SVP level regulatory compliance officer. In some cases, this role may report to an AVP Manager Regulatory Compliance Officer
Minimum of three to five years proven and progressive financial services, compliance and/or legal management experience, or equivalent
Well-developed communications, analytical, organizational, and project management skills
Broad scope of knowledge of assigned businesses, including products, operations, systems, and organization and thorough understanding of significant regulatory compliance requirements applicable to assigned business(es)

Manager, Regulatory Compliance Resume Examples & Samples

The Regulatory Compliance Manager is responsible for the management of the Compliance of the Allentown facilities to the US, EU, HealthCanda regulations. Provides oversight to and is directly responsible for the results of a team of compliance personnel
Support Regulatory agencies and Client Audits, assist with responses and trending of observations
Member of the NA Audit Team, assist with supplier audits in support of FCS NA and other FCS sites as needed
Approve Customer compliance related correspondence
Oversee the self inspection activities
Maintain Regulatory Licenses (FDA, DEA,VAWD)
Ensure regulatory compliance for the site in policies, procedures, and regulatory requirements
Develop, maintain, and monitor regulatory/compliance SOP’s
Provide or assist on employee training to ensure compliance with procedures and regulations
Oversight of DEA activities
Other duties and special projects may be assigned to meet business needs
Bachelor degree (B.A./ B.S.) from a four-year college or university required
A minimum of 8 years of experience in the Pharmaceutical/Medical Device or Regulated industry with at least 5 years of direct management experience required
Experience with Quality Systems (audits, recalls, deviations, complaint management, documentation management, etc) in a pharmaceutical or applicable regulated environment
Familiarity with applicable CFR, cGMP, QSR, ISO, ICH and Health Canada standards/regulations
Effective communication skills to interact with employees in all departments of the organization including, but not limited to, managers, senior management, customers, vendors, and regulatory agencies
Travel is required to audit supplier locations and other FCS sites as necessary; overnight travel approximately 10%
May be required to travel domestically and internationally
Ability to manage multiple tasks and meet deadlines, work under pressure in a fast paced environment
Ability to walk and work in Operational area as required
Applies Good Manufacturing Principles in all areas of responsibility
Demonstrates and promotes the company vision
Ability to lift 10 to 20 pounds
Support other related tasks as required
IND-CCG
LI-CCG

Manager, Regulatory Compliance Resume Examples & Samples

Knowledge of organic chemistry
Working knowledge of SAP regulatory functions and related regulatory databases
Five years experience working in a regulatory environment for the chemical industry
Experience working with regulatory agencies and trade associations
Advance degree in Chemistry, Polymer Science, or similar field
Five to ten years current experience working with SAP regulatory functions and related regulatory databases
Prior experience working in a chemical regulatory function with global responsibilities
Prior experience in registering chemical substances globally
Developing strategies for commercialization and globalization of product lines
Minimum Educational Level of a BS/BA
Experience level of 5-8 years

Manager, Nutrition & Regulatory Compliance Resume Examples & Samples

Developing nutrient and ingredient labelling information for Kellogg Canada products in compliance with government regulations, policies and company guidelines: includes compiling and issuing the Nutrition Facts table (NFt) and ingredient list, as well as collecting and/or validating formula nutrient analyses, NFt format, product piece weights, cup density, allergen information, kosher status and any other required information for nutrition labelling. Requires verifying and approving ingredient information and recipes within the SAP formulation database
Collaborating with Marketing and Legal to develop product nutrition claim and naming justifications, ensuring compliance with all government food and nutrition regulations. Includes developing substantiations for claims, as needed
Working with the Canadian Innovation team, Launch Program Managers and Product Developers to bring new innovation projects to the marketplace, as well as assessing products from US and other countries to ensure compliance with Canadian food and nutrition regulations and policies
Participating in an internal review process to approve of all food, nutrition and quality related claims on packaging, scripts, internet and other promotional materials
Providing support for novel food/ingredient government applications, global position papers, and nutrition science-related regulatory matters (e.g., fortification) and other related nutrition regulatory needs
Providing support for Kellogg North America and Global requests, including, but not limited to product renovations, the development of nutrition labelling procedures and special projects pertaining to nutrient data analysis
Providing support to answer consumer, sales and marketing nutrition and ingredient inquiries
Responding to Health Canada and CFIA requests for feedback on regulatory and policy amendments/change
Bachelor in Food Science, Nutrition or related field
Significant demonstrated experience in a nutrition and regulatory role
Must have excellent knowledge and application of food labeling and advertising regulations in Canada, as well as experience with food formulations and ingredient specifications
Demonstrated analytical, organizational, team work and communication skills
Proven orientation to results and solutions, and the ability to manage competing priorities to provide information in a timely manner
Proficient in all Microsoft Office Applications

Manager, Regulatory Compliance Resume Examples & Samples

Identify and prioritize key risk areas
Manage health plan regulatory compliance team
Ensure state licenses are up to date and renewed properly and timely
Implement compliance plan
Track and implement legal and regulatory requirements related to the assigned subject matter or business areas
Utilize industry groups and research technology sources for retrieving legal and regulatory provider requirements
Deliver accurate, detailed and timely analysis and of new laws and regulations impacting the health plan operations to build and maintain compliance and avoid the potential for risk exposure
Consult with business to support continuous operational improvements into daily business practice
Assist in maintaining compliance reporting
Participates in health plan compliance reviews
Work with senior leaders to develop compliance action plans
Proven ability to maintain confidential communications
Strong organizational and technical skills
Minimum of 6 years in healthcare compliance with health plan compliance preferred

Manager, Regulatory Compliance Resume Examples & Samples

Manage and maintain the Program, working with the Compliance Analytics and Testing team, but is not limited to: Developing compliance testing plans/schedules for the different lines of business, utilizing a risk based approach with multiple inputs and in consultation with personnel in multiple areas – Regulatory Compliance, business unit compliance and other control areas such as internal audit
Conducting compliance testing of processes and controls implemented by the various business units for compliance with regulatory requirements and internal policies, including fraud risk management
Documenting and presenting testing results to business management and compliance. Reviewing action plans for adequacy and performing follow-up testing on the implemented action plans
Completing regular reporting on compliance testing results
Reviewing Program outcomes for trends and opportunities for improvement of risk management and program effectiveness
Perform monitoring and quality assurance of AML/ATF procedures. This includes, but is not limited to
Performing monitoring and developing/enhancing procedures for monitoring adequacy of, adherence to, and effectiveness of day-to-day compliance procedures
Assessing, documenting and presenting monitoring results to compliance management and business units as appropriate
Provide functional support to the Director. This includes, but is not limited to
Assisting the Director to resolve escalated regulatory compliance issues in a timely manner
Assisting the Director with various reporting and certification processes
A minimum of 4-7 years of progressive experience in regulatory compliance or governance, risk management or other control functions and a solid experience in internal auditing or operational/business controls testing within the financial services industry
Good knowledge of the business operations of Sun Life Financial and particularly Sun Life Financial Canada or the financial services industry. Excellent knowledge of risks and controls and testing methodology
Highly developed written and oral communication skills. Ability to communicate to all levels of an organization
Strong analytical, organizational and problem solving skills
Ability to work independently as well as in a team and manage multiple priorities and timelines
Experience working with diverse business lines is preferred

Finance & Risk Regulatory & Compliance Senior Manager Resume Examples & Samples

Minimum of 5 years of recent Risk & Regulatory Management Consulting experience from a top tier consultancy focused on the Financial Services industry. Experience should include
A strong desire to deliver to a high standard and ability to develop creative and breakthrough solutions
Demonstrated ability to navigate unstructured processes and to concurrently manage large consulting workstreams and/or projects
Ability to work collaboratively and independently while managing multiple projects, assignments and/or responsibilities

Manager, IT Regulatory Compliance Resume Examples & Samples

Leads and executes supplier audits, covering GxP related software and technology service providers, including suppliers of infrastructure as a service (IaaS), Platform as a service (PaaS), Software as a Service (SaaS), Software as a Medical Device (SaMD), and Mobile Medical Apps (MMaps)
Determines and documents adherence to Johnson & Johnson enterprise standard operating procedures and regulatory requirements and identifies and communicates compliance related issues, including the risk criticality of each issue; the validated status of systems; and the rating/classification of suppliers
Communicates compliance gaps, considering big picture risks, and gains business partner commitment to address issues found during audits. Authors audit reports and documents observations and commitments clearly, accurately and timely to enable tracking verification
Utilizes expert knowledge of regulations and risk management concepts to ensure compliance with local and global regulations
Supports Health Authority inspection readiness activities ensuring technical subject matter expert preparedness and interacts with regulators on matters related to IT processes, computer system validation, and other technical topics
Participates in gap assessments to new or evolving regulatory requirements and guidances
Partners with other compliance groups (J&J Regulatory Compliance/R&D Compliance/Corporate Internal Audit) as needed on for auditing and remediation activities
Builds and maintains trusting, collaborative relationships and partnerships with internal stakeholders to accomplish business objectives
Participates in industry and other professional networks to ensure awareness of industry standards, trends and best practices to strengthen GxP audit knowledge
Identifies potential risks, articulates impact, and gains alignment from business partners to establish proactive risk mitigation strategies
Applies knowledge of current and emerging regulatory trends to continuously improve audit programs
A minimum of a Bachelor’s Degree is required. An advanced degree is preferred
5+ years of progressive experience in the pharmaceutical/ medical device/ biotech industry required
3+ years leading and executing audits of computerized systems (software and infrastructure) required
Expert knowledge of GxP regulations; including Annex 11, 21 CFR Part 11, Part 210, Part 211 and Part 820, and how these apply to Computer Systems required
Expert knowledge of leading practices including but not limited to; GAMP5, ISO-9001, ISO-27001, NIST, etc. required
Excellent written and oral communication skills, including proven ability to make technical and complex topics clear and easily understood by others is required
Experience interacting or supporting health authorities and/ or notified bodies during inspections is preferred
CISA, ASQ, ISO Lead auditor or other auditor certification preferred
This position may require approximately 30% domestic/international travel

Product Safety & Regulatory Compliance Team Manager Resume Examples & Samples

Take responsibility for ITBA Product Safety organization and coordination
Take responsibility for Nacka unit specific product safety routines and procedures
Perform product safety and regulatory compliance reviews
Review new and changed international legislation, directives and standards, make interpretations as needed, create policies and transform the result into clear product requirements for different product families
Advise and assist Product Development Projects, Engineering and Marketing in certification, declaration and environment issues
Assist production units at inspections, and advice regarding needed improvements and changes
Define product labeling and documentation requirements from a regulatory perspective
Discuss local regulatory demands with customer centers globally, and assist in solving issues
Maintain routines and subscriptions to make external standards available for all industrial technique business area units
Coordinate and drive product related standardization activities within the company
Actively drive eco design initiatives according to regulatory requirements, company sustainability targets and customer expectations
You need an Engineering background and education, mechanical or electrical
You need knowledge and experience in working with product safety, directives, standards and certification. Environmental experience is an advantage
To be successful in discussions with different stake holders globally, you need to be good at English speaking, understanding and writing
Management experience is required, either as line manager or project manager

Regulatory Trade Compliance Manager Resume Examples & Samples

Develop responses to CF28/CF29 and Notice of Action responses
Support various new product and projects teams
Participate in the on boarding of new business units
Minimum 5 years relevant experience in Trade Compliance Management required
Demonstrates expertise in customs issues and issue resolution request is also required
Expertise in classification of goods under the Harmonized Tariff Classification and Schedule B
Comprehensive understanding of US Customs procedures; ITAR, BIS and EAR,
Strong computed skills in Oracle, MS Office and OBIEE

Manager, Regulatory Compliance Resume Examples & Samples

Service contract, portable electronic insurance, and ancillary product and program development and implementation
Review marketing and advertising materials, program changes and other customer communications to ensure regulatory compliance, including consumer protection and corporate policy guideline compliance
Analyze and stay current with state and federal laws and regulations for insurance, service contract, and procedures, consumer protection requirements and insurance licensing and reporting requirements
Draft service contract forms, and collect information necessary to prepare regulatory filings and any other forms required by regulators, including state departments of insurance
Serve as a liaison and information source to client services and project teams including clearly articulating core principles and legal or regulatory constraints that must be satisfied
May coordinate program and product development with other compliance functions, including licensing
May conduct research projects with inside resources
Establish strong collaborative relationships with cross functional team, including underwriting, finance, marketing and product development
Have functional understanding of the company’s risk profile and the impact of product decisions on the company’s core financial performance
Actively seek operational understanding and implications of initiatives
Four-year college degree
Aptitude and motivation for staying current with regulatory changes in insurance, service contract, and consumer protection regulations
Able to understand detailed documents and effectively communicate information to others
Demonstrates ability to effectively understand, consider and address the client or business while mitigating risk exposure
Able to keep multiple projects and initiatives organized and moving forward in a fast-paced environment
Schedules and prioritizes work and deliverables to ensure on-time response to large variety of changing demands/requests/requirements
Professional interpersonal and organizational skills, and experienced at communicating with colleagues at various levels of the organization
Previous regulatory compliance or insurance, service contract and consumer protection experience will be considered a plus
Legal research and analysis training or experience a plus
Must be highly proficient with Microsoft Word, Microsoft Excel, Microsoft PowerPoint, and usage of the Internet

Regulatory Compliance Analytics Manager Resume Examples & Samples

Bachelor’s Degree in Economics, Finance, Statistics, Mathematics, Computer Science, Management Information Systems, Engineering, Business Analytics disciplines, or related area
4+ years of experience with data quality analysis, statistical analysis and/or modeling, financial or cost analysis, internal controls, and/or external/internal financial audit
2+ years in a technical or functional lead role
Experience mining and analyzing transactional electronic data with competency in one or more of the following: SAS, SQL, SPSS, R, Python, ACP, IDEA Tableau, MATLAB, Visual Basic, Business Intelligence, Hadoop or Alteryx
Experience mentoring and coaching others
Proven leadership skills demonstrating strong judgment, problem-solving, and decision-making abilities
Experience managing senior-level client relationships
Experience presenting to clients or other decision makers to present and sell ideas to various audiences (technical and non-technical)
Pre-sales, proposal, and RFP experience
Must be able to obtain and maintain required clearance for this role

Regulatory Audits Compliance Manager Resume Examples & Samples

Oversee staff who coordinate all aspects of regulatory audits
Developing and coach the team
Conduct staff performance evaluations
Develop work plans, policies, procedures and workflows for the team
Train new employees on policies, procedures and workflows for the team
Manage multiple projects and collaborate across multiple business segments
Act as a gatekeeper for regulatory audits
Guide staff in coordinating all aspects of regulatory audits (i.e., pre - site deliverables, mock audits, on - site visits and logistics, written responses to audit reports)
Assist staff in working with various internal groups to gather needed information for regulatory audits
Manage the tracking and reporting mechanism for regulatory audits
Manage, track and report regulatory audit activities
Develop and present reports and results of regulatory audits for organizational review
Develop and lead training and education on regulatory audit- and compliance - related topics
Manage a compliance function that monitors compliance with state, local and federal legislation which meets the best business practice standards in health care
Develop and implementing policies, procedures, structures and processes to meet regulatory audit requirements
Use and continue to develop Medicare, Medicaid and Commercial product knowledge to address regulatory audit issues accordingly
Educate Medicare, Medicaid and Commercial business partners on Medicare, Medicaid and Commercial regulatory audit processes
5+ years of experience in compliance, privacy and / or regulatory affairs or with supporting audits in a highly regulated industry; preferably a government, health care or managed care environment
3+ years supervisory experience

Regulatory Planning & Compliance Manager Resume Examples & Samples

Single Point of Contact (SPOC) for Global CMC and Labeling CoE to disseminate variation updates for RMC and Local operating Company
Manage milestone planning for Local operating Company & RMC team
Optimize and maintain planning/managing tool and provide oversight to Local operating Company
Collaborate pro-actively with Global, RMC team and Local operating Company for priority changes or potential compliance risk
Supports in the set-up of the RMC and onboarding of the LOCs
Optimize and maintain the RMC planning tool
Embeds the planning process in the region and drives continuous improvement
Collect input from involved Global, Regional, Local regulatory teams
Drive integrated planning process by engaging RA stakeholders to ensure insight on all inputs
Identifies gaps / areas for clarification (with CMC & Global Labeling, LOC, RMC team members)
Take action to close these gaps in liaison with Global, Regional, Local and RMC regulatory teams
Monitor resource planning and pro-actively act on potential conflicts
Monitor milestone planning and report to RMC head, Local, Regional, and Global regulatory teams
Create resource report (overview) for RMC
Single point of contact for Global (CMC RA and Labeling CoE) to align on planning, address prioritization and escalation in case of potentiation compliance risks
Collaborate with RMC Professionals and dossier leads on dossiers in scope, in case of priority changes or potential compliance risks
Ensure compliance with submission and approval deadlines
Business acumen (Applying): Leverages knowledge of the sector, organization, Regulatory Affairs function, and cross-functional business partners to make informed business decisions and create and execute business strategies. Assesses the impact of current regulatory requirements on the business to assist in the development of innovative Regulatory strategies and/or innovative ways to execute them. Executes results-oriented Regulatory Affairs strategies that are aligned with organizational objectives. Manages projects within timeline requirements
Decision Making & Priority (Leading): Clearly defines and prioritizes decision criteria and considers benefits and risks of each decision and its immediate and future implications. Considers all of the available facts when situations are ambiguous in order to make the best possible decision. Manages multiple and changing priorities based on factors such as time constraints, urgency, and business need. Manages complex or ambiguous situations including integration of large amounts of changing, complex, or ambiguous information. Navigates a complex organizational structure to make effective, complex decisions and achieve strategic and/or project goals
Leading & Influencing (Applying): Leverages an understanding of others’ motivations, needs, and concerns to establish trust and credibility and influence others. Demonstrates conviction, proactivity and persistence when influencing internal and external stakeholders with or without direct authority or formalized structure. Creates compelling negotiating positions that build support and consensus among key stakeholders. Leverages internal networks to enhance collaboration, information sharing, and form strategic partnerships
Persuasive Communication (Leading): Delivers and creates tailored communications and presentations that educate and mobilize critical stakeholders and translates complex information into key facts and rational arguments that are influential, meaningful, and actionable. Fully engages others by asking incisive and thought provoking questions, always ensuring mutual understanding. Develops written technical communications that are influential, meaningful, and tailored to the audience and business need, including translating complex or technical information into simplified explanations to promote understanding
SPOC for planning, prioritization, progress reporting and escalation
Close collaboration with peers in the other regions
Comprehensive understanding of the needs of global and regional business partners
Good negotiating skills to ensure agreement with global and regional teams on planning and expected services
Understanding of compliance requirements and ability to influence outcomes
Minimum Bachelors’ degree in pharmacy, life sciences or equivalent field
Minimum of 5 years of project management / resource planning experience
Minimum of 3 years of regulatory experience
Demonstrated organizational skills, complex project management skills, as well as experience working in a matrix organization
Knowledge of local and regional regulations/legislation (preferred)
Experience in working with limited supervision and able to make independent decisions
Excellent verbal and written communication skills – proficiency in written and oral English
Ability to communicate to senior level management
Cultural sensitivity and ability to work and thrive in a multi-cultural environment
Proactive team player, able to take charge and follow-through. Achievement-oriented with a high degree of flexibility and ability to adapt to a changing regulatory environment
Proficient use of technology including planning, compliance and resource systems

Regulatory Compliance Services Senior Project Manager Resume Examples & Samples

Air permitting and compliance
EPCRA
Stormwater
TRI reporting
Identifies clients in need of consulting expertise and markets the services of the company to those clients; develop constructive and cooperative working relationships that can be maintained over time
Participates in the development of marketing strategies and formal presentations of qualifications to clients on various projects in area of expertise
Coordinate and manage regulatory compliance projects, assign and evaluate work
Works with clients and colleagues to define project scope, schedule and budget
Identify, develop, and gather the resources to complete the project. This may include preparing calculations, designs, reports and work specifications; developing project schedules, budgets and forecasts; and selecting materials, equipment, project staff, and external contractors
Conduct meetings and prepare reports to communicate the status of the project
Lead team safety efforts and promote safety rules and guidelines. Responsible for creating and modeling a safe work environment; champion safe practices. Foster pre-task planning for all projects
Conduct quality-assurance reviews of project-related documents; promote continuous quality monitoring and improvement on projects. Monitor quality standards and practices
Serve on teams conducting environmental assessments of client facilities, providing assistance with planning, quality assurance, and safety protocols

Manager, Regulatory Compliance Resume Examples & Samples

Serve as a focal point within the company and externally for the regulatory compliance program
Apply expert level knowledge of the Cost Accounting Standards (CAS), Generally Accepted Accounting Principles (GAAP), the Federal Acquisition Regulation (FAR) cost principles, and DFARS contractor business systems to facilitate and resolve ongoing audits
Lead your team to prepare the contractor’s response to contract audit reports and provide audit support documentation to auditors in their audits to result in minimal findings and successfully resolve questions to support Engility Corporation
Prepare the annual incurred cost audit submissions within the required timeframes
Streamline processes and procedures where possible to increase staff productivity
Manage and train junior staff members to successfully complete assigned projects, with the goal to advance staff to more complex assignments
Prepare Cumulative Allowable Cost Worksheets for closeout
Schedule and lead periodic meetings with the Defense Contract Management Agency (DCMA), Defense Contract Audit Agency (DCAA), and Engility’s DACO
Leverage a variety of electronic business and software tools to obtain, organize, and present relevant business data for management
Have attention to detail to provide quality submissions resulting in minimal findings and/or questions
Be a student of continuous learning to stay abreast of developing policy changes and developing industry trends related to contract compliance standards, regulations and legislation
Enjoy the challenge of competing priorities and have the ability to multi-task
Bachelor's degree in Accounting, Finance or a related field
4 to 10 years of relevant experience with federal government contract accounting or regulatory compliance
Possess relevant knowledge of Cost Accounting Standards (CAS), Generally Accepted Accounting Principles (GAAP), the Federal Acquisition Regulation (FAR) cost principles, DFARS contractor business systems requirements and their applicability to a government contractor
Previous managerial / supervisory experience, or mentor relationship
O A Certified Public Accountant and/or advanced degree

Manager, Regulatory Compliance Testing Resume Examples & Samples

Provide regulatory and control guidance regarding business practices, key decisions, policies, processes and, standards
Support the strategic operations program for the development of a culture of risk and compliance through the enhancement and execution of monitoring reviews associated with higher risk regulations and reporting of findings
Provide effective challenge to the 1st LoD and guidance on organizational risks and controls as needed
Assess operational breakdowns for compliance risk and provide guidance on remediation/recovery plans
Provide guidance on controls over compliance requirements and business line monitoring of those controls
Perform risk-based reviews of business line control design and execution effectiveness and provide guidance on identified risks or gaps
Develop review procedures, including tools/templates necessary to complete reviews (i.e. review check list, official report of review, etc.)
Work closely with the Lines of Business (“LoB”) to understand risk points and key challenges within the 1st LoD as well as documentation of any related issues noted during the review
Ensure review plans are completed in a timely and accurate manner
Identify requirements to provide direction for the technical build out and/or support of databases, queries, reporting tools, dashboards, etc. that enable analysis and complete and accurate reporting for the Strategic Operations Governance and Oversight team
Stay abreast of industry emerging trends pertinent to SC to facilitate a more proactive approach to risk identification and mitigation
Responsible for staying abreast of regulatory issues, developments, changes and evaluating impact on applicable areas, collaborating with Director and the LoB on implementation and risk mitigation efforts
Works with management to determine scope and examination techniques required to assess the control reviews for the area
Contacts business management to identify areas needing review and to arrange examination steps and timetable
Reviews a variety of documentation, examines methods and systems, and interviews personnel to obtain information on actual practice
Compares practice with regulatory and internal requirements to identify variances
Determines areas where corrective action is required
Prepares written reports / memorandums on review findings and recommendations
Performs reviews independently as needed or in conjunction with other assigned personnel, acting in a lead capacity
Discusses and validates findings with management
Prepares and presents conclusions and recommendations to management
Stays current on company policy and regulations impacting company business
Special projects as requested including internal investigations and consultancy work
Professional certification (CRCM, CIA, and / or CCSA)
Juris Doctorate (JD)
Five (5) years of Auto lending / leasing compliance experience
Three (3) years of experience as a Compliance Consultant, Compliance Examiner with a Regulatory agency, Regulatory Compliance Attorney, etc

RC Regulatory Compliance Senior Manager Surveillance Assurance & Validation Resume Examples & Samples

Sets priorities and makes day-to-day decisions independently. Escalates matters to senior management as needed
Is knowledgeable about the results of any relevant BRCM reviews, CTAC testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Ensures remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks
Articulates any control weaknesses and status of plans to address these across HNAH. Initially, this information will be part of the Regulatory Controls Review (RCR) Controls remediation Project for each regulation
Typically works under the direction of the SVP Regulatory Compliance or VP Director Regulatory Compliance. May be responsible for the management of AVP Regulatory Compliance and Regulatory Compliance Officer staff
Minimum of seven years proven and progressive financial services, compliance, and/or legal management experience, or equivalent
Minimum of a Bachelor’s degree in business, related field or equivalent experience
Supervisor/management experience preferred
Proficiency with Big Data and software packages including Microsoft Excel, Word, and PowerPoint

Regulatory Compliance & Environmental Manager Resume Examples & Samples

Manage a central team of multi-media regulatory compliance and environmental professionals to assist in managing the accountabilities described below
Coordinate with BU HSE Managers and BU leadership to manage environmental compliance programs in the Lower 48 that comply with state and federal laws and maintain conformance with BP corporate requirements
Provide strategic technical guidance and environmental permitting support to the Lower 48 business units to enable the achievement of their business objectives
Lead environmental initiatives and participate in deploying programs on key environmental matters including access, greenhouse gas emissions, environmental management systems (EMS), sustainability and proactive compliance auditing
Manage environmental compliance audits, the findings and specific audit actions to closure
Coordinate with the BU HSE Managers and the L48 Risk lead to manage the maintenance of the L48 regulatory compliance and environmental risks, using the BP risk processes
Optimize the use of environmental consultants used by operations and develop cost control methods, quality standards and scheduling requirements to ensure efficient use of environmental consultants
Manage with the L48 Business Development team and central Mergers and Acquisition team the environmental due diligence for acquisitions and environmental disclosures for divestitures
Coordinate with the BU HSE Managers and BU LT’s to respond to or support the response to environmental claims such as new lawsuits, complaints, and Notices of Violation
Work with BU HSE Managers, BU leadership and L48 Government & Public Affairs on environmental issues raised by regulatory agencies and the communities in which we operate
Support the manager of L48 Land, BU HSE Managers and BU leadership (as necessary) to coordinate with BP Remediation Management to manage new or legacy L48 environmental cleanup matters to closure
Collaborate and coordinate with L48 Public & Government Affairs and the BP America Communications and External Affairs organization on the development of advocacy strategy and strategy execution for new and emerging regulations that have the potential to impact BP L48 activities
Coordinate with the BU HSE Managers and BU leadership on the effective implementation of newly finalized environmental regulations impacting L48 operations
Collaborate and coordinate with the BP Upstream and Group SOR/RC&E organizations on matters that are important to BP and that require coordination with the L48 business
Minimum of 15 years of experience in the oil and gas industry
High technical proficiency in the comprehension and application of the applicable regulatory resources and requirements associated with environmental compliance and sustainability
Proficiency communicating regulations, risk management, and risk assessment skills
Proficiency in HSE auditing, incident investigation, and documentation techniques
Proficiency with written and email communication including use of MS Office (Word, Excel, etc.)
Excellent interpersonal and relationship building skills to work effectively with all levels of leadership, professional staff, and field employees
Excellent interpersonal and relationship building skills to work effectively with external stakeholders
Excellent verbal and written communication skills which include the ability to present information, speak, write and listen in a manner that clarifies issues, promotes closure and delivers information in a clear and concise manner and facilitates good decision-making is required

Manager Regulatory Compliance Commercial Banking Global Liquidity & Cash Management Resume Examples & Samples

3 - 5 years of experience in Regulatory Compliance, with relevant Commercial Banking business line exposure. Alternatively 5-7 years expereince in GLCM/PCM with demonstrable progressive development including Senior Client Service or Middle Office experience with judgement relied upon by Senior Management
Strong communication and inter-personal skills, with experience of dealing with indivuals at all levels including the capacity to articulate the case for risk management and policy in the language of business
Understanding of dealing with regulatory matters and interaction with Regulators
Ability to influence change and contribute to joining up with the other teams in Risk and Business globally

Technical Manager Regulatory Compliance Resume Examples & Samples

Analysis of regulatory requirements and developing procedures and processes for ensuring compliance with the overall goal of eliminating any potential for violations and civil or criminal penalties, and
Compliance related support for ongoing operations and new projects, and the development and implementation of compliance related broad initiatives, strategies and policies
Supports compliance assurance across gas pipelines and processing in Canada
Incumbent will remain accountable for legacy responsibilities for Enbridge’s compliance with the Line 6B Consent Decree
Resolves compliance issues by developing stakeholder consensus; and implements initiatives, procedures and policies
Provides general compliance assurance supports to all Canadian gas pipelines and processing departments, including support for new projects, acquisitions and joint ventures
Facilitates excellence through support of committees
Advises senior management compliance initiatives and develops plans for ensuring compliance
As directed, may support or lead communications with Regulators
Ensures required compliance reporting in a timely manner
Works with various departments to identify and mitigate compliance risks
Supports compliance reviews across departments
University degree in Engineering, or a related discipline is required
A minimum of 10 or more years of progressively responsible experience in compliance management, law, regulatory affairs, operations and/or Engineering is required
Excellent communication and interpersonal skills to interact with a variety of stakeholders will be critical
Salary and job level will be commensurate with qualifications and experience

Regulatory Compliance Legal Senior Manager Resume Examples & Samples

Minimum of 10 years (CL7) or 15 years (CL6) of experience as an attorney providing services and regulatory compliance advices to the industry, including experience as a transactional attorney and at least 4 of which involved management responsibility for other legal professionals
Expertise: regulatory compliance expertise in various regulated areas within his remit
Good judgment, an ability to prioritize and make decisions, and a high level of common sense, including the ability to see around the corner and spot risks before they materialize
Legal Advisory Acumen
Legal Regulatory Compliance Acumen related to products and/or services

Manager Regulatory Compliance Resume Examples & Samples

5 - 10 years of quality assurance experience in the medical device or pharmaceutical industry
Demonstrated ability to lead and influence others
Experienced in reviewing materials for compliance to regulations and market approvals/clearances
Ability to develop and maintain strong relationships in furtherance of quality goals and objectives
Excellent team building and leadership skills that motivate team members to drive projects to a successful conclusion; must be able to manage and lead without direct authority
Excellent judgment skills in order to provide strong guidance and counsel to staff
Extensive knowledge of medical device regulations
Time management skills for oneself and of others on a team, ability to drive projects to scheduled completion
Superior interpersonal, verbal and written communication skills
Exceptional organizational, negotiation, and problem solving skills
Must be able to manage and lead without direct authority
Ability to work in a matrixed organizational structure, developing strong relationships with all levels of management

Offerings & Services Regulatory Compliance Counsel Senior Manager Resume Examples & Samples

Offerings and services regulatory risk assessment
JD or equivalent law degree (based on geography) required with tenure in good standing with one state bar
Compliance Legal Counsel & Support

Financial Institutions Regulatory Compliance Senior Manager Resume Examples & Samples

8-15 years of recent or current experience in financial institutions regulatory compliance
Consulting/professional services experience required
Bachelors’ Degree required
CRCM certification required
Experience with business development required
Experience developing and presenting industry related thought leadership preferred
Candidates must be well versed in alphabet regulations and BSA
Up to 60% travel (predominately in the great lakes region)

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