Regulatory Compliance Manager Resume Samples

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F Bailey

Fredrick

Bailey

137 Marshall Cliff

Houston

+1 (555) 142 1369

137 Marshall Cliff

Houston

Phone

p +1 (555) 142 1369

Experience Experience

Detroit, MI

Regulatory Compliance Manager

Detroit, MI

Batz-Volkman

Detroit, MI

Regulatory Compliance Manager

Analyzes, manages, and reports data to identify improvement opportunities and measure progress of improvement projects
Assist the Assistant Director of the IEB with the development of policy and procedures
To make line management aware of the standards expected by regulation
Effectively communicate with Project Management, Business Group Management, internal departments, and with the Client (if requested) on regulatory issues
Establish and maintain professional relationships with casino management and personnel, law enforcement and other government agencies
Understand, monitor and review all developments within the casino regulatory environment as well as technological developments in casino industry operations
Perform special project work and departmental administrative duties, as assigned

Boston, MA

Senior Regulatory Compliance Manager

Boston, MA

Stanton, Kohler and Hauck

Boston, MA

Senior Regulatory Compliance Manager

Oversee and manage staff that performs detailed analyses of complex affiliate transactions involving the global institution and worldwide affiliates
Provide advice and guidance to senior leaders regarding the business risk assessments
Lead Regulation W/O project initiatives to enhance the internal control environment
Adheres to the Firm’s Statement of Business Principles and Code of Ethics
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
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
Interact directly with senior business leaders and regulators regarding the Regulation W/O Compliance Program and in response to regulatory examinations and routine requests for information

present

San Francisco, CA

Senior IT Regulatory Compliance Manager

San Francisco, CA

Gottlieb LLC

present

San Francisco, CA

Senior IT Regulatory Compliance Manager

present

Provide oversight to the issue management process as it relates to self-identified issues and management action plans
Support the ongoing efforts of the Officers’ Information Technology Committee (OITC) by providing key metrics and executive management summary materials
Support the establishment and refinement of formal contracts or service level agreements (SLAs) with internal IT areas and external service providers
Serve as a thought leader and key member of the IT team to develop and maintain a multi-year strategy and roadmap to meet short term and long term regulatory oversight objectives
Oversee and manage the Vendor Affiliate program within the FSB. This will include partnering with the business executive team that oversees Vendor Management
Partner with different organizational teams to manage the regulatory oversight activities across the entire Individual Business Technology team. Partner organizations include: Advocacy & Oversight, Internal Audit, External Audit, Information Technology Risk and Information Security, and Retirement and Individual Technology Audit
Develop key relationships with the IBT Lines of Business Executive Management Teams members including the FSB Chief Risk Officer, Chief Compliance Officer, and Chief Operating Officer

Education Education

Bachelor’s Degree in Accounting

Emory University

Bachelor’s Degree in Accounting

Skills Skills

Good working knowledge of Pharmaceutical (USP , 21 CFR 210 & 211, and 503B, and USP ) and Medical Device (21 CFR 820) Quality System Regulations
Ability to demonstrate detailed knowledge of relevant laws and regulations relevant to the Irish financial services
Ability to work closely with multiple internal stakeholders, ability to build strong relationships
Detailed knowledge of and experience in the UK power generation and energy market
Diligent and reliable with strong execution skills
Excellent organisational skills - able to manage conflicting and demanding priorities
Ability to work in a highly technical and collaborative environment, engaging key stakeholders to develop pragmatic solutions to complex problems
Excellent PC skills, including Windows and proficiency in Excel
The successful candidate will be analytical, organized, dependable, self-motivated, and able to work with minimal supervision
Strong knowledge of pest-control operations and auditing procedures

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Regulatory Compliance Manager Resume Examples & Samples

Minimum 8 - 10 years of Hong Kong banking compliance related experience
Familiar with Private Banking activities
Knowledge of HKMA /SFC regulatory requirements
Excellent in English (oral and writing skills)
Ability to work in a multi-cultural environment
Strong risk management perspective and experience, problem analysis and judgment, independence, persuasiveness, creativity, customer focus
Degree qualified - preferably with legal knowledge and law degree

Regulatory Compliance Manager Resume Examples & Samples

Minimum 6-10 years working in the financial services industry, preferably in a compliance and regulatory related role
Experience with local regulators and exchanges in Hong Kong
Good knowledge of Hong Kong banking and securities regulations relating to Investment Banking business (preferred
A solid understanding of investment products (preferred)
Strong regulatory knowledge of Hong Kong and ideally, familiarity with local regulatory requirements in China and Taiwan (ideal)
Ability to make decisions and respond to issues promptly
Excellent organizational skill, able to manage daily queries with ongoing projects
Confident and team player

Regulatory Compliance Manager, Dodd Frank Resume Examples & Samples

Provides compliance support, advice, and guidance to the Global Banking and Markets businesses with a focus on derivatives and Dodd-Frank related compliance, including Volcker compliance implementation
Escalates matters to senior management as needed or required according to the Swap Dealer and Volcker governance requirements
Strong background in Dodd-Frank compliance, particularly Titles VI and VII, within a regulated financial services environment consistent with the products / services supported and an ability to understand, interpret and apply novel and complex regulatory requirements to business practices
Licenses or registrations relevant to the products supported are preferred (e.g. Series 3, 7, 9, 10, 24, 63 and 55)

QC & Regulatory Compliance Manager Resume Examples & Samples

Ensure regulatory compliance within EMEA
Assist the VP of Operations and the Fulfillment Center Manager with all areas of compliance and quality control
Work directly with both internal groups (warehousing, marketing, global compliance team) and external groups ( FSA, Trading Standards, Environmental Health, industry associations and advisors) to maintain sustained compliance of all domestic sales activity and retail products sold; ensure that all products are compliant with UK and EU legislation prior to onboarding and shipping into the UK FC
Review and evaluate current products for continued compliance; recommend necessary actions and/or appropriate measures to maintain current product inventory compliance
Work with all freight forwarding companies and PoH to ensure the smooth transition of products into the FC from out of country
Support the Inbound team on all returns and product complaint ensuring all information is processed and communicated accordingly
Support the UK business with all Health and Safety and environmental issues ensuring that all risk assessments are completed and adhered to and documented in line with legislation
Facilitate training on applicable industry rules and regulations for Health & Maintain expertise and remain current on practices and developing changes within applicable regulatory agencies
Ensure all relevant parties companywide are kept abreast of any EU legislative changes and the impacts thereof
Clear knowledge and understanding of all UK and EU legislation surrounding ingredients and trade compliance issues for sports nutrition and supplements. Including label claims and THMPD licenses
Experience dealing with government and private agencies charged with regulating nutritional and dietary supplement industry
Superior understanding of FSA/ESSNA and local rules and regulations, how they impact the company, its vendors, manufacturers, as well as competitors
Ability to analyze agency rules and official regulatory communications, applicable case law, and current events
Excellent oral and written communication skills, including experience in effectively interacting, communicating with, and presenting concise analysis of current issues to senior management
Strong interpersonal, technical and analytical skills; candidate must be a strategic thinker, demonstrate organizational leadership and ability to lead by example, as well as results-oriented performance and time management skills
Ability to work well in a fast-paced environment
A Bachelor's Degree, preferably a BS in an applicable field, with excellent academic credentials
Minimum 3 years’ experience in sports supplements industry ideally within a compliance/regulatory role
Strong analytic, communicative, organization and implementation skills
Experience of working across continents and within different time zones is an advantage

Senior IT Regulatory Compliance Manager Resume Examples & Samples

Coordination and management of all regulatory oversight IT activities as it relates to Safety and Soundness exams
Ongoing evaluation of people, process, and technology in comparison to FFIEC guidelines
Oversight and management responsibilities for all IT Safety and Soundness recommendations and / or findings
Support the ongoing efforts of the Officers’ Information Technology Committee (OITC) by providing key metrics and executive management summary materials
Assist in the preparing Board of Directors executive materials to the Chief Technology Officer of the FSB
Develop key relationships with the IBT Lines of Business Executive Management Teams members including the FSB Chief Risk Officer, Chief Compliance Officer, and Chief Operating Officer
Partner with different organizational teams to manage the regulatory oversight activities across the entire Individual Business Technology team. Partner organizations include: Advocacy & Oversight, Internal Audit, External Audit, Information Technology Risk and Information Security, and Retirement and Individual Technology Audit
Serve as a thought leader and key member of the IT team to develop and maintain a multi-year strategy and roadmap to meet short term and long term regulatory oversight objectives
Oversee and manage the Vendor Affiliate program within the FSB. This will include partnering with the business executive team that oversees Vendor Management
Support the establishment and refinement of formal contracts or service level agreements (SLAs) with internal IT areas and external service providers
Provide oversight to the issue management process as it relates to self-identified issues and management action plans
Develop and maintain key IBT dashboards for the regulatory oversight function which will be used by both the business and IT executive management teams members
Establish specific delivery services for the regulatory oversight function across the department and organization
Manage the escalation and resolution of all key IT regulatory issues
Provide ongoing evaluation of existing IT governance activities as it relates to the Individual Business Technology team
8 or more years’ professional work experience
5 or more years of Financial Services experience in regulatory compliance and oversight roles
Retail Banking experience and an in depth knowledge of banking regulations
Proven experience working with regulatory agencies
Experience working with FFIEC IT handbook
Specific knowledge of online Banking technologies and business processes
Experience in preparing Board of Director materials
10 or more years’ professional work experience
Proven ability to work as part of a team of senior business and IT leaders
Strong analytical problem solving skills
Proven executive collaboration skills across various team
Proven experience with change management, PMO, and financial management
Risk management knowledge and best practices

Regulatory Compliance Manager Resume Examples & Samples

Assist the Local Compliance Officer discharge their accountabilities set out in the Compliance Officer Handbook by identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimising relations with regulators
To implement the Group Compliance Policy, adhering to the bank's agreed process/procedures - achieving a satisfactory audit report
Developing and maintaining good relations with regulatory authorities (principally the FCA), by fostering good relations and providing timely and accurate information if and when required
Assisting line management in their responsibility for complying with regulation, including the provision of advice on compliance and anti-money laundering issues
Provide guidance on regulatory expectations for Insurance
To make line management aware of the standards expected by regulation
Work closely with other compliance functions, keeping in regular contact
Continually reassess the operational risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology
Addressing any areas of concern in conjunction with line management and/or the appropriate department
In conjunction with Compliance department, to implement the Group Compliance Policy by containing compliance risk in conjunction with the relevant compliance department. The term 'compliance' embraces all relevant financial services laws, rules and codes with which the business has to comply
Adhere to and be able to demonstrate adherence to internal controls by adherence to all relevant procedures, keeping appropriate records and, where appropriate, by the timely implementation of internal and external audit points, including issues raised by external regulators
Facilitate improvements in the overall standards of the group's compliance in the Bank's key distribution channels. Development and maintenance of a good relationship with line management in the implementation of robust compliance procedures and processes
To manage, rectify and report, as appropriate, material breaches of regulations, recommending improved controls and reporting, as required by the Compliance Officer Handbook
A thorough knowledge of the FCA Handbook and Fighting Financial Crime matters such as Data Security and Joint Money Laundering Steering Group guidance
Knowledge and understanding of Compliance aspects within Insurance, Life and Pensions
Industry experience in Financial Services
Attitude and desire to perform compliance role with guidance from line management where necessary
Proven ability to interpret and give guidance on complex legal and regulatory issues
Strong negotiation and communication skills, both written and verbal
Ability to make and implement compliance policy and make recommendations
Relevant qualifications and ability to attain relevant qualifications

Regulatory Compliance Manager Resume Examples & Samples

University graduate preferably with a degree in Law, Accounting, Management or Finance
At least 7 years of compliance and control experience in wealth management, and/or with regulators or non-PWM/private banking background
Ability to demonstrate strong relationship management and ability to work with individuals at different levels

Regulatory Compliance Manager Resume Examples & Samples

Apply long-term corporate vision and direction to the Compliance function
Develop strategic and tactical plans to respond to changing regulatory environment
Work with the Legal Department in order to assess the company’s regulatory risks, and determine the adequacy of existing policies, procedures, training and objectives
Work with the Legal Department to structure new programs and establish policies, and procedures to ensure applicable laws and regulation requirements are met
Recommend changes to policies and processes to senior management to ensure overall compliance is met
Prepare formal compliance reports to senior management and for review and approval
Maintain effective working relationships with all business units/groups, and external auditing companies
Coordinate across business functions and in consultation with the Legal Department for regulatory examinations and audits
Oversee regulatory compliance reviews, audits, self-assessments, and systematic reviews for all products within the scope of responsibility
Recognize and respond to emerging coverage and legal compliance issues
Provide compliance answers to submitted queries
Work closely with the Legal Department for guidance on all legal matters (including interpretation of laws, regulations and payment network rules, as needed), in prioritizing compliance program efforts, and in keeping the Legal Department informed about compliance programs and changes in business activities
Work closely with all Lending departments to ensure that regulatory compliance inquiries are addressed as requested by internal and external parties
Conduct annual NACHA self-audit as required by NACHA and internal audit
Coordinate with the Legal Department in monitoring and tracking adherence to regulatory standards, including new laws and regulations that might affect the company
Participate in cross-functional team meetings to implement and execute company initiatives
Represent the company in compliance-related discussions and meetings with internal and external clients
Attend professional meetings, seminars, and continued education programs to remain current in compliance, regulatory requirements and company procedures
Minimum 5 years of compliance and regulatory experience
Compliance experience in the Lending and Originations industry
Minimum 3 years business analysis, legal or banking experience
Demonstrated experience of 5 or more years working with auditors and internal stakeholders
Supervisory/Management experience preferred
Should possess very strong relationship and communication skills (written, oral and presentation) to ensure smooth client interaction, and interaction with internal stakeholders
The successful candidate will be analytical, organized, dependable, self-motivated, and able to work with minimal supervision
Must be results oriented, shown proven leadership, sound business judgment
Must have ability to multi-task and handle deadlines
Proficiency in MS Office Applications
Excellent PC skills, including Windows and proficiency in Excel
Strong analytical and follow-through skills
Understanding of banking compliance and legal processes

Quality, Regulatory, & Compliance Manager Resume Examples & Samples

Experience in a clinical laboratory as a supervisor, manager or higher (at least 2 years) preferred
Comprehensive understanding of State and Federal laws pertaining to clinical laboratory testing and operations, and accreditation standards (JCAHO, CAP, AABB)
Possess strong analytical problem-solving skills and excellent communication skills including effective interpersonal aptitude to interact with a diverse group in a diplomatic manner
Participation in accreditation (JCAHO, CAP, etc.) inspections
Understanding of quality assurance requirements of JCAHO, CAP, AABB, FDA, CLIA, and State of California
Understanding of clinical laboratory quality control, CQI philosophy
Familiarity with State and federal laws and regulations governing laboratory practice, including physicians’ office testing, hospital bedside testing, scope of practice, Quality Control, Quality Assurance
Understanding of OIG compliance guidance for laboratories
Expertise in the use of desktop computer tools, including the Internet, Outlook, Excel, PowerPoint, and Word applications
Ability to write and implement policies & procedures
California Clinical Laboratory Scientist license highly preferred
ASCP certification as an MT preferred
A Fire and Safety card must be presented upon hire or must be obtained at our facility within the first 30 days of hire and maintained by renewing before expiration date

Regulatory Compliance Manager Resume Examples & Samples

Compliance Management-Ensure provision of prompt and accurate advice to the business on compliance and regulatory matters
Design and maintain an accurate and comprehensive inventory of applicable laws, regulations and codes
Develop an early warning system for upstream legal and regulatory changes
Ensure effective and compliant management of the mortgage appeals process
Ensure provision of prompt and accurate advice to the business on compliance and regulatory matters
Policy Management-Ensure that robust policies and related procedures are in place to comply with applicable laws, regulations and codes, and internal policy requirements. Roll out new/updated policies and procedures where appropriate
Input to relevant business policies and procedures to ensure compliance with relevant laws, regulations and codes
Education & Training-Determine optimal training strategy, content and mode of delivery; maintain accurate and easily accessible training materials and records
Leadership & Team Development-To successfully lead the team towards achieving the goals of the Compliance team
Strong compliance experience in a financial services environment
Ability to demonstrate detailed knowledge of relevant laws and regulations relevant to the Irish financial services
Legal qualification and/or Licentiate of the Association of Compliance Officers in Ireland
Previous experience operating in a leadership position
Experience of Conduct Risk (desirable)
Experience in design and delivery of training courses
Knowledge of mortgage lending legislation (desirable)
Data Protection qualification (desirable)
Anti-Money Laundering qualification (desirable)

Quality, Regulatory, & Compliance Manager Resume Examples & Samples

Comprehensive understanding of State and Federal laws pertaining to clinical laboratory testing and operations, and accreditation standards (FDA, JCAHO, CAP, AABB)
Participation in accreditation (FDA, JCAHO, CAP, State, etc.) inspections
California Clinical Laboratory Scientist license or RN license highly preferred

Regulatory / Compliance Manager Resume Examples & Samples

5 years working for a FI in a compliance/regulatory capacity
Knowledge and experience of the major regulatory bodies globally - MAS/HKMA/PRA etc
Knowledge and experience of material outsourcing, hosting, cloud services agreements and compliance restrictions
Project Management experience (but not necessarily certified as a PM)
Managing all regulatory compliance requirements for Hybrid Compute, Next Gen Workspace and Unified Comms programmes
Liaising with the group compliance team to formulate approach and execution of notifications and approvals
Liaising with the country compliance and technology teams to gain local approvals
Liaise and oversee external consultants engaged on cloud readiness compliance matters (e.g. PWC & EY)

Mortgage Regulatory Compliance Manager Resume Examples & Samples

Monitor all aspects of business line changes(system, process, product etc) as well as state or federal laws and regulations, court decisions, etc. to ensure awareness of actual and pending changes in each area of compliance and for the purpose of ensuring that the practices, policies, procedures, system and training has been updated accordingly. Research questions on rules and regulations, product and/or system changes and report findings and recommendations
Develop, maintain and manage ongoing Compliance Monitoring Program which measures the level of compliance with established policies, procedures and guidelines as well as those third parties performing services for or on behalf of the organization
Review new product offerings, proposed marketing and sales materials, to ensure compliance with applicable laws and regulations
Develop and maintain an effective reporting process to department management, applicable business line personnel, executive management, the Audit Committee and/or Board of Directors
Assist the Senior Program Manager of Loan Origination Compliance with any applicable quarterly reports to executive management and the Audit Committee
Assist in the development of a risk management program related to compliance function
Assists with all aspects related to compliance regulatory reviews, interact with examiners, resolve and/or respond to identified issues, and participate in all closing conferences with examiners
Applicable to Default Service’s: Administer the vendor management process within Default Services

Risk Regulatory Compliance Manager Resume Examples & Samples

Consult with management in the development of policies and procedures to ensure compliance with relevant laws and regulations. Assist management with internal and external communications regarding such compliance related policies, procedures, and requirements
Develop, present and implement department training relating to compliance initiatives which result in new/modified policies, procedures or process
Assist the Senior Project Manager of Loan Origination Compliance with any applicable quarterly reports to executive management and the Audit Committee
4-7 years Compliance, mortgage lending or loan servicing experience required
7-10 years Compliance, general banking or mortgage lending operations experience with an emphasis related to regulatory or compliance issues desirable preferred

Regulatory Compliance Manager Resume Examples & Samples

Degree holder preferably in Law, Finance, Business Administration
At least 5 years of compliance experience in private banking, wealth management, bank systems or operations, audit, compliance or law
Understanding of Hong Kong regulations (HKMA and SFC)
Strong knowledge of Private Banking

ASP Quality & Regulatory Compliance Manager Resume Examples & Samples

Quality Systems
Product Complaints
Corrective and Preventive Actions (CAPA)
Internal Audits, Good Manufacturing Procedures (GMP)
Good Documentation Practices (GDP)
Sarbanes-Oxley (SOX)
Health Care Compliance (HCC)
Government Contract Compliance (GCC)
Environmental Regulations
Records Management
Johnson & Johnson Business Conduct and Employee Policies
BS/BA Degree (science or engineering preferred)
Training on Medical Device Regulations (e.g. ISO13485, 21CFR820)
Minimum of 8 years of Medical Device Experience in Quality or Regulatory Compliance, at least 5 years in a supervisory position
Excellent communication skills both written and oral are required

Regulatory & Compliance Manager Resume Examples & Samples

To undertake the management of the creation, execution, and maintenance of product regulatory and conformance compliance across the organization working closely with our respective Quality and engineering organisations etc
To Manage the respective inputs from across the functional organisation and ensure that all appropriate regulatory and product testing requirements are identified during new product introductions or existing product upgrades
Work within our organization to develop a clear and concise and effective integrated regulatory compliance and product testing matrices
Participate in cross-functional projects supporting our legal departments to ensure effective risks are measured and analyzed in full compliance with local regulatory compliance, & any country level regulations or requirements
Proactively identify gaps or conflicts in existing policies or regulatory framework, develop scalable solutions, and work to win consensus across all business functions
Analyze data effectively to support the development of strategies and processes in order to help senior management meet compliance and testing objectives across our sales regions
When required provide organizational training on policy/processes across our sales regions
Develop with suppliers and third parties as required product regulatory and compliance testing release schedules
Work with our certification partners (CNPP, Telefication,VDS UL, etc)
Support the business through the management of both internal and external third parties to meet the requirements of the business
Lead when required corrective actions and drive through to an effective completion
Ensure and support conformity of products to the latest versions of the RoHS/REECH/WEEE Directives,
Ensure that the global and local regulatory and Quality and engineering organisations’ are aware of changes to the applicable directives regulations and standards etc
Academic background should include a Degree or HNC within an appropriate area, and/or with a minimum of 5 years relative experience
Demonstrated and substantial knowledge in the area of product regulatory and compliance testing
Excellent organizational, communication, interpersonal and teamwork skills
Experience working cross-functionally among teams and business groups
Experience in developing standard processes and conditions
Creative and innovative, and fully able to manage change and drive and delivery improvements when and as required
Experience in the understanding and testing to meet both EU directives, regulations and standards, as well as UL and FCC requirements
Organized, thorough, detail oriented and driven passion for the subject area
Fluency in English and French languages are required with good communication skills both spoken and written
Proven leadership and management skills with cross-functional teams, as well as inspiration and motivation skills
Excellent interpersonal communications, organisational, and presentation skills
Superior negotiation and influencing skills

Regulatory Compliance Manager, Risk Advisory Resume Examples & Samples

Coordinates with Senior Manager, or Partner on all phases of the engagement, including execution of the project deliverables, communications with the project team, staffing requirements, job planning, and scheduling
Continually evaluates project resource requirements delivery to ensure efficient resource allocation, communication, and execution
Maintains a knowledge of current federal laws and regulations
Develops, coordinates and participates in compliance educational and training programs
Serves as a key member in Risk Advisory Practice Leadership
Professional demeanor towards duties and responsibilities, particularly with regard to independence, professional ethics, and the exercise of professional judgment

Risk Advisory Regulatory Compliance Manager Resume Examples & Samples

Manages relationship with client-side project members to facilitate project fulfillment
Exercises independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation
Identifies further areas of value-add to create opportunities for future projects and responsible for leading multiple project teams
Assists clients with enhancing, developing, and implementing effective compliance controls including policies, procedures, and processes
Develops articles, web scripts, seminar content and other materials on relevant compliance topics to assist clients in understanding specific compliance regulations

Regulatory Compliance Manager Medicaid AIM Chicago Resume Examples & Samples

BA/BS degree in a related field,
5+ years’ experience at a Medicaid contractor, with a state Medicaid office or in Medicaid operations at the Centers for Medicare & Medicaid Services (CMS)
Or any combination of education and experience which would provide an equivalent background
Ability to analyze, write and integrate highly technical information into action plans, training materials and guidance summaries and effective oral communication skills

RN Quality & Regulatory Compliance Manager Resume Examples & Samples

Minimum of three years’ experience in hospital Quality Management with current knowledge of regulatory and accreditation standards
Minimum of two years supervisory or management experience
Must have the ability to scope and manage improvement projects including design and develop performance measures, conduct data analysis and use statistical process controls, provide education and presentations as well as policy and procedure development
Ability to effectively communicate both verbally and writing with hospital, medical staff and regulatory bodies
Excellent computer skills in Word, EXCEL, PowerPoint and ACCESS

Regulatory Compliance Manager Resume Examples & Samples

Provide compliance expertise and oversight to all areas of collections operations including first party internal collections centers, offshore service partners, and third party agencies relative to Federal and state laws, rules and regulations to include but not limited to FDCPA, TCPA, FCRA, SCRA, UDAAP and CFPB
Responsible for compliance oversight of monthly, quarterly and yearly monitoring and audit inspection of internal and external collections groups, ensuring sound structure and that industry best practices are being maintained
Liaison with Legal, Corporate Compliance, Internal Audit and any other internal department with regard to risk and compliance, to act as the focal point for all internal collections deliverables. Act as department point of contact for compliance investigations from 3rd parties related to the operational or collection practices of the business
Ensure all contractual and compliance related documentation is reviewed regularly and maintained current. Oversee compliance training for internal employees as well as vendors
Write collections business procedures to ensure regulatory compliance while balancing industry best practices with operational efficiency
7+ years relevant, with a minimum of 3-5 years in compliance or audit
Strong knowledge of collections related compliance regulations
Ability to communicate effectively and professionally verbally and in writing
Ability to analyze information relative to compliance
Ability to plan strategically encompassing objectives relative to corporate, departmental, team and individual business goals
Ability to work with highly confidential and sensitive business information and to maintain high standards of confidentiality
Ability to work independently and in a team environment to achieve department goals and objectives consistent with the company's ethics and standards of excellence
Ability to manage multiple and/or shifting priorities, and produce professional and accurate work product, often under tight time constraints

Senior Regulatory Compliance Manager Risk Management Resume Examples & Samples

Direct a team of professionals to manage all aspects of inherent risk and make decisions concerning the scope of work to be performed based on those risks. Assess current and potential risks based on the potential financial, legal and reputation impacts to the company. Develop, design and implement a compliance strategy and make recommendations to senior management. Develop and implement prioritized work plans based on the risk assessment and business partner feedback. Continually determine modifications to strategy as needed to support business priorities and perceived risks to profitability and asset protection. Continually monitor and review FAR regulation changes, contracts and rules to ensure Verizon remains compliant
Provide leadership in designing and implementing controls to improve financial performance and transactional accuracy, including the design of reporting to monitor processes or existing controls, the repair of controls that are not functioning as intended, assessment of potential new and developing threats, and the enhancement of the control environment. Ensure adequate coverage of significant risks through delegation of resources for monitoring and review of standard reports, risk model analysis and associated field work
Promote the team’s professional development. Ensure all team members receive consistent and relevant development plans
Provide proactive support and guidance to key stakeholders in various Market and Corporate business units. Provide recommendations/ advice/assistance regarding controls and compliance
Develop and maintain positive working relationships with key internal customers, including senior Market and HQ leaders. Communicate timely and accurate information regarding findings and improvement recommendations for senior management and monitor management’s improvement actions. Prepare and deliver presentations communicating risks mitigated, and the potential impacts of unmitigated risks to senior management
Provide leadership in developing and completing thorough and accurate investigations based on limited information. Direct a team of professionals who will research transactions, processes and investigate allegations of misconduct
Partner with Corporate Security, Legal, Human Resources and other teams to ensure completion of investigations and necessary disciplinary action
Support other audit groups—including Corporate Auditing Services and public accountants—in planning and completing their audit engagements

Regulatory Compliance Manager Risk Management Resume Examples & Samples

Serve as the subject matter expert in export/import/hazmat regulations and government regulations, demonstrating familiarity with a broad variety of complex processes, systems and technologies
Where VZW is the USPPI (United States Principal Party of Interest) for exporting, ensure shipments are in compliance with the Business of Industry and Security (BIS) list. Also ensure a process is in place to monitor customers against the Office of Foreign Asset Control (OFAC) list. Ensure VZW maintains a list of CCATS (Commerce Control Automated Tracking System) numbers and ECCN’s (Export Commerce Control Number) for all VZW products
Maintain a list of Harmonized Tariff Codes and be the single point of contact for providing and monitoring the correct use of codes
Review and provide guidance on proper wording of contracts and legal documents
Manage all aspects of inherent risk and make decisions concerning the scope of work to be performed based on those risks. Assess current and potential risks based on the potential financial, legal and reputation impacts to the company. Develop and design the compliance strategy and make recommendations to management. Develop and implement prioritized work plans based on the risk assessment and business partner feedback. Continually determine modifications to strategy as needed to support business priorities and perceived risks to profitability and asset protection
Provide subject matter expertise in designing and implementing controls to improve financial performance and transactional accuracy, including the design of reporting to monitor processes or existing controls, the repair of controls that are not functioning as intended, assessment of potential new and developing threats, and the enhancement of the control environment. Ensure adequate coverage of significant risks through delegation of resources for monitoring and review of standard reports, risk model analysis and associated field work
Develop and maintain positive working relationships with key internal customers, including senior Market and HQ leaders. Communicate timely and accurate information regarding findings and improvement recommendations for management and monitor management’s improvement actions. Prepare and deliver presentations communicating risks mitigated, and the potential impacts of unmitigated risks to management
Provide leadership in developing and completing thorough and accurate investigations based on limited information. Partner with Corporate Security, Legal, Human Resources and other teams to ensure completion of investigations and necessary disciplinary action

Regulatory Compliance Manager Resume Examples & Samples

Oversee the preparation, submittal, and communication of important environmentally related documents that support the internal and external reporting obligations of the Carbon Capture System (CCS) and Enhanced Oil Recovery (EOR) operations
Maintain knowledge of DOT PHMSA regulations and support all aspects of the DOT PHMSA compliance program for CCS pipeline operations
Oversee implementation and regulatory compliance with LDAR and CEMS regulatory monitoring programs
Oversee tasks associated with CO2 monitoring and accounting at Petra Nova and the EOR operations site, and participate in technical studies to monitor soil and groundwater
Oversee Title V permit compliance certifications and air permit compliance and permit maintenance activities
Oversee TPDES Permit, SPCC and Storm Water program implementation and provide waste characterization support, including permits for modifications and special projects at the operating facilities; including managing the process from preparation of permit applications through to final issuance of the permits or project approval
Monitor and report on federal and state regulatory and legislative activities with the potential to impact CCS and EOR assets
Provide miscellaneous environmental expert-level consulting services to NRG’s Gulf Coast plants, as needed, and in accordance with NRG’s Corporate Values so as to assure the long term, environmentally compliant operation of NRG owned and/or operated facilities
Firm understanding and extensive experience in multi-media environmental regulations and permitting requirements
Must be self-starter capable of critical and analytical thinking
Possess an interest in, and aptitude for, solving problems in a practical, business-oriented manner
Must be a team player – willing to take lead or supporting roles as the situation demands
Open, effective and clear communicator, verbally and in writing
An attention to detail in the production of project and strategic analyses and recommendations
An ability to form and communicate views and recommendations succinctly and with appropriate support
Demonstrated ability to get things done and produce quality product
Extensive and pertinent multi-media environmental regulatory and permitting experience for the power generation industry required, experience in the pipeline and/or oil & gas industry desired
An understanding of the fundamentals and key drivers of the power industry
A successful track record of working with environmental and regulatory agencies and developing relationships with key internal and external stakeholders

Regulatory Compliance Manager Resume Examples & Samples

Maintaining a list of Approved Organizations and associated projects subject to regulatory compliance
Supporting contract reviews for the purpose of understanding any regulatory compliance requirements
Maintaining regulatory compliance baselines for Approved Organizations and associated projects
Supporting the creation and maintenance of Expositions and Compliance Matrices for Approved Organizations and associated projects
Reviewing Approved Organization and project regulatory compliance documentation including Expositions and Compliance Matrices
Supporting Approved Organization and associated project applications for Waivers, Alternative Acceptable Means of Compliance and Exemptions in accordance with the applicable Organization Exposition instructions
Supporting regulatory compliance audits of Approved Organizations and applicable projects
Supporting Corrective Action Requirement (CAR) closure activities for CARs relating to Regulatory Compliance
Documenting knowledge of the company’s regulatory compliance responsibilities and liabilities
Maintaining a regulatory compliance documentation library
“Horizon scanning” for applicable changes in regulation, standards and legislation and notification to affected parts of the organization
Maintaining an understanding of the regulatory compliance processes used by Approved Organizations and associated projects
Supporting development of processes and other documentation related to regulatory compliance
You will be an experienced compliance manager, coming from an engineering industry
Understanding of aerospace regulations - civil and military
Desirable to have a quality assurance and/or auditing background
Good communicator with influencing and persuasion skills
Willingness to challenge the status quo and improve on the standard
Ready and willing to respond to a change in direction to keep things moving forward
Strong disciplined approach to process
Good decision and problem solving skills

Regulatory Compliance Manager Resume Examples & Samples

Assist the business lines in interpretation and advise as to the application of regulatory compliance regulations, rules and requirements
Assist in the development, implementation and maintenance of robust regulatory compliance policies and procedures in accordance with domestic and EU regulations
Research, investigate and provide recommendations in relation to regulatory compliance queries
Collaborating with the Enterprise Risk Manager in maintaining and enhancing the Internal Capital Adequacy Assessment Process ("ICAAP") and the Recovery Plan
Ongoing monitoring and reporting of regulatory compliance
Involvement in external regulatory examinations and reviews
Assistance in ad-hoc projects which have a regulatory element

Regulatory Compliance Manager Resume Examples & Samples

Develop/implement and maintain effective controls to ensure compliance with US Import regulations.Apply specialized technical knowledge of CBP regulations and import operations to Tech Data import activities
Ensure an appropriate structure of controls, process and procedure is established and maintained over Tech Data's imports
Oversight/management of Tech Data's CTPAT program
Proactively identify potential import compliance risks, recommend and develop corrective measures. Adjust business practices and implement process change if/as necessary
Contribute to the strategic planning of the department
Coordinate import compliance and operations with other departments
Audit Customs Brokersf or compliance and adherence with import policies and procedures. Develop corrective action plans to correct deficiencies and/or add new controls to ensure compliance with regulations
Monitor import regulations for changes / updates. Prepare impact analysis if/as appropriate
Partner with Corporate Transporation ot ensure operational efficiencies and cost management / containment
4 year college degree required
5+ years related import experience working for Customs Broker and/or manufacturer in similar capacity
Customs Broker's license preferred

Regulatory Compliance Manager Resume Examples & Samples

Manage and direct regulatory compliance activities required to support the planning and execution of assigned projects
Provide subject matter expertise to all assigned regulatory compliance-related activities for projects in support of the planning and execution of project operational requirements or projects
Serve as Subject Matter Expert on commercial terms and conditions in the country in which the project is located. Advise team members in the application of local laws to commercial terms and conditions
Negotiate terms and conditions, as requested, to mitigate risk to the firm
Perform compliance tasks, as assigned, involved in the formation, negotiation and administration of local subcontracts and purchase orders to ensure compliance with local laws and regulations
Ensure full compliance with all local laws and regulations by the project team
Effectively communicate with Project Management, Business Group Management, internal departments, and with the Client (if requested) on regulatory issues
Provide regulatory support services that support the vision and goals of CH2M in Kazakhstan
Maintain effective relationships with subcontractors, management, clients, support organizations, and project team members
Compliance with established policies and procedures
Compliance with established business ethics and conduct principles related to business practices
Minimum of 10 years of regulatory experience, with 7 years in the engineering and construction industry
At least 5 years of demonstrated experience interpreting and applying local Kazakhstan laws, regulations and codes to projects
Has extensive knowledge and experience with Kazakhstan laws and regulations as they pertain to the engineering and construction industry
Has extensive knowledge of commercial purchasing, construction and professional services subcontracting, and contract law, within the local environment

Bank Regulatory Compliance Manager Resume Examples & Samples

**Please note this position will be based in our Oakbrook Terrace location***
Write reports, including key findings and recommendations
Build personal referral sources and clientele while actively participating in team marketing opportunities
Knowledge of, and experience working with, federal banking regulations, such as Truth in Lending, RESPA, Equal Credit Opportunity, Electronic Funds Transfer, Truth in Savings and Availability of Funds
Minimum of 7 years experience working with banking regulations
Certified Regulatory Compliance Manager (CRCM) a plus

Regulatory & Compliance Manager Resume Examples & Samples

Graduate Degree in Medicine or Pharmacy or Legal
Advanced knowledge of drug development process, GVP, GCP, GDP and local regulatory requirements for regulatory/ safety and quality related activities
Advanced knowledge of global/ European and local compliance legal rules/pharmaceutical codes
In-depth knowledge of applicable regulatory and product sales& promotion related business processes according to EU and local laws and EFPIA code of conduct
At least 3 years of experience in Regulatory/Safety/GDP and at least 2 year work experience in Compliance in Innovative Pharmaceutical Industry, within the last 5 years
Good understanding of pre-clinical, clinical and pharmaceutical development
Fluent English, able to attend and discuss presentation of projects
Articulate, positive, work ethic, confident, enthusiastic, flexible, team player
Good interaction with and influencing of others, both internally and externally
Ability to handle multiple tasks and good prioritizing ability
Strong Leadership skills
Ability to work efficiently in cross-functional teams
International experience working in a cross-cultural environment
Legal background and on job experience in Pharmaceutical company in last 5 years
Travel across MCO ECE (CZ, SK, HU, SI, CRO) as needed and other EU countries (for training if needed)
Educational background to allow to be local PV responsible person in Hu
24/7 phone availability for ADR reporting as necessary

Regulatory Compliance Manager Resume Examples & Samples

Accounts, tracks, monitors and files appropriate compliance reports to federal, state, and local entities to ensure company adherence to laws, regulations, guidelines and specifications relevant to federal, state and local government awards, incentives and contracts
Supports proposal preparation and resolve potential policy questions to ensure compatibility with company and government procurement regulations
Works independently with hands-on, day-to-day operational responsibility of the government contract process
Ability to design, develop and implement policies, processes and procedures that govern the contract flow process
Coordinate communication between company and appropriate federal, state and local agencies
Monitor federal code of regulations for any changes that would affect the company
Assists in the overall planning, development and administration of the assigned regulatory programs
Assists in determining and monitoring the financial soundness and level of regulatory compliance of federal, state and local institutions
Assess the future ventures to identify possible compliance risks
Reviews and/or revises programs in area of responsibility to ensure compliance of operations with laws, regulations, policies, plans and procedures
Participates in the development, implementation or interpretation of new or revised program, departmental or legislative initiatives
Keeps abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control
Participates in conferences, training sessions and meetings relating to areas of assigned responsibility
Participates in the development of budget requests and the monitoring of expenditures according to budget allocations/appropriations and recommends and/or initiates cost-saving measures
Represents and/or serves as a liaison for the assigned area of responsibility
Prepare reports for senior management and external regulatory bodies as appropriate
Bachelor’s Degree in business management/public administration from accredited college or university and/or qualified experience with government entities
Master’s degree in business management/public administration strongly preferred
Minimum of five (5) years’ of corporate or government experience
Progressive regulatory experience such as Department of Energy, state and/or local economic development entity
Related work experience in the areas of Project Control, Finance and Program Management is desirable
PC skills (MS Office required, Deltek FMS and SAP experience valuable)
Outstanding research and writing skills
Strong interpersonal and communication skills, including the ability to work well and communicate with a variety of audiences (agency officials, elected officials)
Ability to work under stringent deadlines and handle simultaneous assignments

IT Regulatory & Compliance Manager Resume Examples & Samples

Minimum of 5+ years of experience in Data Privacy, Information Security, or IT Risk Management
Experience implementing or evaluating HIPAA requirements
Working knowledge of regulatory requirements around data privacy
Ability to identify regulatory/legal changes and analyze applicability
Capable of anticipating needs and driving clarity on expectations
Knowledge of the healthcare industry and related compliance frameworks a plus
CIPP, CISSP, CISM, CRISC, or other similar professional designations

Regulatory Compliance Manager Resume Examples & Samples

Develops, implements and maintains formal federal regulatory compliance structure and oversight processes, controls and systems to support compliant Medicare Sales activities for a wide variety of sales functions, initiatives and materials
Supports development of and conducts final Compliance reviews of all Policies & Procedures (P&Ps) applicable to all Sales activities and oversight thereof
Partners with Sales Oversight and First tier, downstream and related entity (FDR) Oversight departments to ensure proper oversight and compliance of all Third-Party Marketing Organizations (e.g. Field Marketing Organizations, External Brokers, Electronic Marketing Organizations, etc.)
Partners closely with Medicare Sales Team to ensure timely implementation of all applicable federal and state regulatory and contractual requirements
Manages day-to-day process for documenting and resolving potential and/or identified compliance issues as they arise
Conducts direct review of complex marketing materials to ensure compliance with federal and state guidance requirements, and state contractual requirements
Develops and conducts critical training and other educational programs on federal and state guidance requirements annually and as needed
Develops “job aids” and other reference tools to help appropriately convey compliance requirements and reminders for use by Medicare Sales and other business associates
Partners with Medicare Legal Department to facilitate resolution of complex or difficult questions of guidance interpretation
Requires

Regulatory Compliance Manager AIM Chicago Resume Examples & Samples

5 - 7 years related regulatory or contract compliance experience
Ability to analyze, write and integrate highly technical information into action plans
Effective oral communication skills

Usda Regulatory Compliance Manager Resume Examples & Samples

Ensures compliance with all applicable labeling laws and regulations in accordance with USDA meat and poultry regulations for HPP, including the Empire Kosher brand, including
Partnering with R&D and Ops to review HPP product processes to create Nutrition Facts panel and ingredient statements for new and existing products
Managing all compliance requirements related to the Food Allergen Consumer Protection Act of 2006 (FALCPA)
Reviewing labels for consumer safety issues (cooking, storage, preparation, use)
Working with Kosher Coordinator & Organic Rep to ensure accuracy all related symbol compliance requirements
Managing label application to USDA and FSIS approval process
Responding to all label inquiries from regulatory agencies and retail customers
Collaborates with R&D, QA and Ops to develop review program for product fill levels to assist with net weight declaration as per the Fair Packaging and Labeling Act
Collaborates with Marketing and R&D on New Product Development commercialization process to document and provide input on product benefits for achieving compliance and competitive advantage
Maintains registrations required for corporate compliance with various regulatory agencies and third party certifications, as assigned
Partners with key business partners in Ops, Marketing and Sales to ensure proper communication regarding all labeling and regulatory projects including adoption of Hain policies beyond regulatory requirements (i.e., non GMO)
Proactively monitor and communicate regulatory activity to ensure that the Company is aware of pertinent developments in labeling law, FDA and USDA actions and policy statements
Minimum five years’ experience in a technical function, preferably in regulatory compliance in the food & beverage industry
Bachelor’s degree required
Advanced knowledge of FDA and USDA regulations, including National Organic Program
Understands the entire commercialization process in order to collaborate at all levels of the organization and across other functional areas
Experience with Food GMP’s, SOP’s, HACCP/Food Safety, and Environmental guidelines
Adept at systems such as specification management tools, ESHA and Genesis food labeling, USDA nutrient database and MRP
Previous laboratory, ingredient testing, and/or manufacturing experience
Export experience is a plus
Scientific approach to problem solving
Excellent organizational skills, ability to prioritize multiple priorities and strong attention to detail
Ability to maintain a high level of confidentialityEEO/AA/M/F/Veteran/Disabled

Regulatory Compliance Manager Resume Examples & Samples

Ensure compliance of regulations/policies – ultimate accountability for HACCP compliance. Analyzes, reviews, interprets trends with food safety implications. Monitors regulatory activities, ensures plant compliance, acts as liaison with regulatory authorities at local level
Perform prevention activities and issue resolution – acts as customer interface, manages FOOD SAFETY audits, responds to customer questions/complaints, proactively identifies risks, takes action to prevent FOOD SAFETY non-conformities
Develops, implements and assesses process/systems – plans and directs all Food Safety programs and management of change, drives continuous improvement, and provides input to location leaders related to capital needed to maintain a food safety and quality
Drives the Internal and External Auditing program for compliance with FSSC, Mondelez Global, and local and Federal entities
Shapes food safety, quality and regulatory culture/reputation - interfaces with manager/directors within BU and represent the Quality/ Food Safety Department as part of location management team, leads implementation of food safety strategy/tactical plans for the Atlanta Bakery
Accountable for selection, training, development, performance management and engagement of direct/indirect reports, develop/implement short range food safety plans in alignment with BU and local plans, actively participates in development of Food safety initiatives and budgets, and sets accurate and challenging budgets
4-year degree in scientific discipline such as food science, chemistry, biology or related field
Minimum of 5 years in quality control/quality assurance experience in the food and/or pharma industry
Minimum of 3 years experience with direct supervision personnel, preferably with multiple shifts
Understanding of laboratory function/operations of standard to moderately complex lab equipment
Demonstrated knowledge and experience with Quality, HACCP and food safety practices such as risk assessment, auditing, assigning product disposition

Regulatory Compliance Manager Resume Examples & Samples

Significant knowledge and experience in regulations impacting financial institutions, specifically for non-consumer compliance regulations
Working knowledge of consumer compliance regulations
Research, analyze and interpret complex laws, regulations, and related commentaries. Apply appropriate regulations and/or guidelines to existing or revised products, services or practices to determine regulatory requirements
Influence change by effective partnering with business or support units to implement new requirements and prepare respective status reports
Provide day to day compliance leadership and support to business and support units on non-consumer requirements. Research regulatory issues, document analysis and respond in a consistent and timely manner to non-consumer compliance questions
Provide guidance and training to business and support units
Develop and enhance department procedures and streamline working processes to increase efficiency, providing automation where appropriate and practical
Coordinate the gathering of documents and answers for internal audit and regulatory examination requests for areas of responsibility
Coordinate the timely response and resolution of issues identified by internal audits and external examinations related to areas of responsibility
Manage projects and prepare reports, including quarterly reporting to the Audit Committee and to the Federal Reserve
Provide back up support on preparation and filing of regulatory-related applications and other filings
Minimum of 5+ years' related work experience. Regulatory, paralegal, financial institution experience preferred
Bachelor’s degree in Business Administration or comparable Compliance designation is preferred
Strong analytical skills with demonstrated ability to interpret laws and regulations, analyze processes, determine gaps and oversee resolution, required
Demonstrated experience facilitating change across the organization and providing guidance to internal customers
Understanding of process and change management
Demonstrated ability to build and manage partnerships, including senior management
Experience working in a fast-paced, team environment
Demonstrated effective oral and written communication skills, with the ability to convey information in a comprehensive manner, and prepare and present information and educational presentations
Proficient with personal computers, experience with Windows, Microsoft Office software (Word, Excel, PowerPoint and Outlook) and SharePoint preferred. Experience with GRC software is a plus
Demonstrated ability to facilitate continuous improvements to achieve effective and efficient processes
Demonstrated ability to recognize problems and develop/implement solutions to the problems
Demonstrated high level of personal integrity, ability to professionally handle confidential information and situations while using sound judgment
Flexibility to accept and facilitate change, whether indicated by corporate needs, market or regulatory requirements
Ability to work cooperatively with, and maintain effective communication and working relationships within HomeStreet and external partners

Environmental & Regulatory Compliance Manager Resume Examples & Samples

Develop and maintain nationwide environmental management system
Oversee and provide leadership for regional EC teams
Develop and implement training programs for regional EC personnel
Hire and train all regional EC employees on applicable environmental compliance regulations and programs (e.g., universal and hazardous waste, SPCC, stormwater, air quality, EPCRA Tier II compliance, applicable DOT regulations, and Cox’s environmental system)
Develop and Implement a nationwide training program for all employees and specified department training for boundary partner teams (Supply Chain, Facilities, Critical Facilities, EC, Sales, etc.) for all elements of the EC program
Develop and implement nationwide SPCC compliance program. Prepare, update and maintain SPCC plans for 60-70 sites. Develop and deploy nationwide training program and monthly and annual tank inspection protocols
Responsible for training and leading teams in spill, release, and emergency response
Responsible for implementation of nationwide universal and hazardous waste program. Responsibilities include development, deployment, training, recordkeeping, and reporting requirements for the program
Responsible for nationwide EPA Tier II compliance
Must be familiar with DOT hazmat requirements
Participate in company sponsored sustainability initiatives to promote the organization’s ethical and social environmental responsibilities
Manage the administration of all environmental compliance training programs (SPCC, Tier II, air quality, stormwater, universal and hazardous waste among others)

Regulatory Compliance Manager, Shipping Resume Examples & Samples

Manage day to day activities of direct reports
Ensure that departmental processes are continually reviewed to meet Regulatory Compliance responsibilities and business needs. Propose new processes to direct supervisor
Manage and coordinate all day to day communication with regulatory agencies. Address issues communicated by regulatory agencies
Manage and coordinate all shipment approvals with operations. Answer questions on interpretation on shipping regulations and shipping requirements that arise from operations
Discuss with regulators how to handle new product as it relates to shipping regulations
Manage the Company’s shipping regulations information system to ensure accuracy
Provide assistance to sales’ and operations’ personnel relative to compliance questions
Advise supervisors of any non-compliance with processes and procedures
Review and maintain communication log of oral and written communications with gaming regulatory agencies (State, Tribal and International)
Responsible for entering and following up on assigned matters in the quality control database
Prepare or assist in the preparation of reports as assigned
File and distribute all correspondence, documents and other written material
Maintain and organize Regulatory Compliance filing system related to shipping
At least three to five years experience managing and guiding teams and one or more direct reports within a legal or compliance department
At least five years regulatory compliance and licensing experience or at
A strong understanding of the manufacturing environment and logistics needs and its intercorrelation with regulatory compliance requirements and responsibilities preferable
Knowledgeable in MS Access, Excel, PowerPoint, Outlook and Word
Knowledgeable in Oracle or ERP equivalent
Must be detail oriented with strong organizational skills and have the ability to multi-task
Must be able to meet tight deadlines
Must be able to function in a high stress environment

Regulatory Compliance Manager Resume Examples & Samples

Must have vast knowledge of detailed compliance regulations from Regulation B to Regulation GG and BSA/OFAC/AML
Must be very strong on compliance lending and be able to answer difficult questions relating to Regulations B, C, V and Z among others
Must be able to research compliance laws, rules, regulations and guidance
Must be able to communicate compliance related issues to banks, credit unions and agencies
Must be able to draft articles explaining and summarizing compliance issues
Must be able to develop compliance guides
Must be able to develop compliance tools
Keep up with changing compliance regulations
Collaborate with a team of compliance experts in effort to assist customers

QA Regulatory Compliance Manager Resume Examples & Samples

Maintain a thorough knowledge and understanding of applicable cGMP Regulations, Regulatory Agency Guidelines, Industry Association Guidelines, and Good Practices. Lead the practical interpretation and implementation of Regulations, Guidelines and Good Practices, to ensure that all site activities are compliant. Ensure that documentation and records are compliant
Lead the site in developing and implementing quality systems across the full scope of Regulations, Guidelines and Good Practices
Ensure QA oversight is in place across the full life cycle of regulated products - new launches have been appropriately signed-off before placing on the market, process validation is complete, change control is in place and relevant products are annually reviewed
Lead the implementation across the site of a self audit program. Play a leading role in any visit, audit or contact with Regulatory Agencies. Ensure that site training program drives compliance to GMP
Ensure that the site implements corrective and preventive investigations and action plans in response to all incidents and audits, in a timely manner
Work with other sites to ensure that good practices are shared and reapplied, consult with other QA organizations to share and reapply good practices
Lead the investigation at the site of consumer comments in a timely manner to maintain compliance with relevant regulations

Regulatory Compliance Manager Resume Examples & Samples

Develop and maintain enterprise-wide compliance policies and procedures
Responsible for monitoring and reporting activities related to Enterprise Regulatory Programs
Perform and/or facilitate compliance risk assessments in accordance with the company’s risk assessment process to identify deficiencies and testing needs with respect to enterprise-wide regulations
Establish and manage key risk indicators and executive management reporting to represent the company’s compliance health with respect to Enterprise Regulatory Programs
Participate in relevant regulatory examinations of defined compliance programs by engaging with business owners, compliance partners, risk partners and other teammates to successfully manage the examination
Enterprise Compliance Framework Governance
Coordinate with the Enterprise Compliance Framework Program team to review and agree upon the appropriate set of oversight requirements so that an assessment can be conducted of how well Compliance Risk Delivery teams are adhering to the Enterprise Compliance Framework
Through oversight activities, identify improvement opportunities for the Enterprise Compliance Framework and coordinate with the Enterprise Compliance Framework Program team to effectuate changes to supporting compliance policies, procedures and processes

Legal & Regulatory Compliance Manager Resume Examples & Samples

Banks Act No. 94 of 1990
Financial Advisory & Intermediary Services (FAIS) Act
National Payments System (NPS) Act

Residential Lending Regulatory Compliance Manager Resume Examples & Samples

Compliance Change Management: Assess and respond to all reviews, audits, and exam reports. Work with internal staff to design and implement corrective actions within Responsibility Area. Consult with Corporate Legal/Compliance as applicable
Assist the compliance team including providing on the job training, allocating work and review of work papers, management letters, and reports in areas of expertise. The review should include completeness, accuracy, and that recommendations and comments are material, relative and adequately documented
Assist the Director of Residential Lending Compliance with any applicable quarterly reports to executive management and the Audit Committee
Develop and maintain processes to measure and report on the effectiveness of the compliance function
Assist and/or coordinate and oversee all compliance training needs of assigned staff
Review, respond to, and report on monthly third party audits
2-4 years Compliance, mortgage lending or loan servicing experience required
4-7 years Compliance, general banking or mortgage lending operations experience with an emphasis related to regulatory or compliance issues desirable preferred

Associate Regulatory Compliance Manager Resume Examples & Samples

Track and document Lyft’s regulatory compliance obligations in various jurisdictions
Work cross-functionally with various teams to gather information for regulatory reports and audits, as required by various jurisdictions
Conduct research on regulatory compliance issues that impact Lyft’s operations, marketing, finance, legal, and product teams
Communicate regulatory compliance requirements and offer guidance to other teams, including Comms, Product, Government Relations, Customer Support, and Legal
Work collaboratively with regulators to determine what the requirements are, and negotiate to get better administrative rules in place for drivers
Gather and synthesize data relating to our compliance requirements
Bachelor's Degree from a top school
3+ years experience working in a legal or compliance role, preferably within a company
Ability to think both tactically and strategically
Proficiency in Excel and Microsoft word
Passion for Lyft and the ride-sharing community

Regulatory Compliance Manager Resume Examples & Samples

Review internal controls of gaming licensees’ to ensure compliance with laws and regulations, identify deficiencies, and recommend appropriate changes
Oversee the monitoring of gaming establishment activities with an emphasis on revenue and gaming operations
Remotely organize and direct the flow of work to Gaming Agents including internal control reviews and audits of gaming operations
Oversee regulatory audits of casino accounting records
Assure that all laws, regulations, and Standard Organization Procedures (SOPs) are followed by the casino licensees
Assist the Assistant Director of the IEB with the development of policy and procedures
Assist in the oversight of Gaming Agent Division members, including contributing to the performance evaluation of Gaming Agents and Supervisors, offering training recommendations and/or development plans, and providing overall guidance and leadership
Develop and deliver training for MGC Gaming Agents and Supervisors in the areas of casino financial operations and other compliance related subject matter
Assist with oversight of compliance activities by Gaming Agents and Supervisors
Review reports and supporting documents prepared by Gaming Agents, provide testimony at MGC hearings or in court, and work closely with attorneys on enforcement actions
Assist in recommending regulations, as well as policies and procedures to improve effectiveness and productivity of the Gaming Agents Division
Detect and investigate gaming regulations violations
Report all criminal activity to the MA State Police and/or other law enforcement agencies; provide required information for federal, state and local law enforcement investigations
Review complaints from the public, licensees and other gaming officials and take appropriate action
Prepare complex, detailed reports
Understand, monitor and review all developments within the casino regulatory environment as well as technological developments in casino industry operations
Establish and maintain professional relationships with casino management and personnel, law enforcement and other government agencies
Minimum of five years supervisory experience
Bachelor’s degree or higher in a related field from an accredited college or university (Note: 2 years of casino financial experience may be substituted for each year of college)
Eight years of progressively responsible experience working with casino internal controls
Experience with developing and delivering training
Experience with casino openings

Regulatory Compliance Manager Resume Examples & Samples

Leads VBS teams, Clinical, and Operational teams in creating and sustaining a culture of regulatory compliance
Acts as lead among Quality, Education, and Technical departments to provide educational activities as needed to achieve compliance with federal, state, and local laws and regulations. Using expertise, makes recommendations, provides guidance, and influences through education to re-establish regulatory compliance
Identifies improvement opportunities to ensure compliance with company standards, policies and procedures, as well as federal, state and local regulations by conducting facility audits. Conducts exit conferences with facility management staff to review survey findings and to make recommendations. Provides guidance to operations in the development, implementation and monitoring of a Plan of Correction (POC), improvement projects and activities. May be asked to conduct focused audits by VPQ
Using expertise and independent judgment, works with facility, area and regional management staff to set and achieve improved regulatory and operational outcomes, identify risk areas and opportunities for improvement, and assist with root cause analysis, if indicated. Monitors, trends and analyzes audit results, ensures thorough root cause analyses and recommends process changes as identified
Provides guidance, interpretation and subject matter expertise when appropriate
Conducts facility mock surveys to evaluate conformance to state licensure and CMS Conditions of Coverage to ensure safe operational condition and external survey readiness
Educates and advances the use of the Quality Assessment and Improvement (QAI) Program tools and promotes utilization of Continuous Quality Improvement principles to ensure adherence to standard QAI activities, tracking and trending of required metrics, and identification and prioritization of performance improvement projects. Ensures the use of appropriate tools and monitoring techniques to assist staff and QAI committee members in assessing their compliance
Mentors and assists facilities in identifying effective practices applicable to their needs, in testing for desired results, and the adoption and implementation of these practices
Analyzes, manages, and reports data to identify improvement opportunities and measure progress of improvement projects
Prepares and disseminates reports on audit findings and corrective and preventive action recommendations to FVPRA, FVPQ as well as operations management and corporate staff, and as needed
Provides guidance and consultation to facilities and area management in their development and evaluation of plans of corrections in response to state and federal surveys
Conducts emergent mock surveys and coordinates rapid response teams to assist with intervention and resolution of critical facility specific problems. Ensures thorough root cause analysis, and acts as Lead in identifying and prioritizing areas of risk and opportunity
Fosters and maintains good working relationships with state survey agencies, CMS regional offices, ESRD Networks and other regulatory bodies that have jurisdiction over FMS facilities
Fosters and maintains good working relationships with the ESRD professional community to promote FMCNA as an industry leader
Maintains up to date expert knowledge of CMS Conditions of Coverage for ESRD facilities, state regulations, quality improvement concepts, principles and practices to perform tasks and duties, and FMS clinical and administrative policies and procedures, available internal resources
At least 5 years clinical management experience in dialysis (for example as Clinical Manager, Area Manager, Director of Operations, Education Coordinator, Charge RN) or related external experience (state surveyor)
At least 8 years as a nephrology nurse
Experience in quality, risk management, case management, or infection control
Maturity and tact essential
Good understanding of the relationship between providers of health care services and regulatory agencies
Good critical thinking skills and proven quality improvement experience
Able to analyze & propose alternate solutions, assist in resolving sensitive to complex issues/problems
Able to differentiate between when coordination may be performed by telephone or written instruction, and requires approval by higher level authority
Ability to travel 50% - 80% of the time and valid driver’s license
Preferred experience teaching/consulting and in complex organizations (with Corporate Regional, Area, and Local management)

Regulatory Compliance Manager Resume Examples & Samples

Manage and document all activities pertaining to daily and monthly portfolio compliance of the Fund. This includes monitoring and analyzing issues and areas of potential regulatory risks, understanding and resolving conflicts in data and reports, and promptly communicating with the appropriate parties within and outside of the organization
Participate in the compliance reviews of the Fund' investment guidelines. Develop and review comprehensive, well-documented tests and compliance monitoring policies, controls, and procedures to be followed by the Fund's custodian and the investment adviser
Prepare all materials and reports necessary to ensure that management and the Board stays fully informed and up to date on the Fund's compliance matters. This function requires flexibility, excellent communication and analytical skills, and coordination with other departments and groups, both within and outside the organization, including professional staff at third-party investment advisory firms
Work with the Fund custodian and local country income tax advisors and preparers, as applicable, and monitor other third-party processes responsible for preparation, review, and timely and accurate filing of all Fund-level tax returns and reports to ensure compliance with foreign country income, excise, withholding, reclaim, and information reporting requirements
Maintain appropriate filing and retrieval systems
Perform special project work and departmental administrative duties, as assigned

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

Minimum 3 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.). Experience should include any combination of the following
Experience eliciting high-level business requirements and creating detailed functional specs and other documentation, such as requirement traceability matrices, work-flow diagrams and use-cases
Experience working through organizational change, with a demonstrated track record of continuing responsibilities, creativity and innovation, including evidence of solution design
Well-developed analytical skills and the ability to provide clarity to complex issues, and synthesize large amounts of information
Demonstrated ability to identify the root causes of issues by analyzing patterns and trends
Minimum 1 year of prior Management Consulting experience focused on Financial Services Regulatory & Compliance highly desirable

Global Quality Regulatory Compliance Manager Resume Examples & Samples

Champion for the internal audit community across Boston Scientific. Acts as Internal Audit Process Steward. Develops and mentors direct staff, as well as others within the internal audit community
Responsible for scheduling, planning, conducting, and reporting audits of entities engaged in quality systems and clinical trials activities to assure compliance with applicable global regulatory requirements, and corporate policies and procedures
Identifies, accesses and analyzes all the internal and external data streams that have impact on the company’s compliance to overall quality systems. Integrates such data and distills it into a clear, current and accurate state of compliance. Strategically leverages such information to proactively design a robust internal audit program. Is able to make recommendations based on areas of highest compliance risk
Connects well globally to understand changes in regulatory environment worldwide, as it relates to the quality and clinical systems, and adjust audit plans and approach accordingly. Is able to identify audit trends and anticipate future audit focus
On a quarterly basis, provides summary of internal audit results, and associated recommendations, for Executive Management Review
Assess compliance of sponsor with applicable regulations and internal SOPs, etc
Professionally communicates audit observations to Clinical, Quality, Regulatory / Compliance Management
Leads team and internal audit community in continuous improvement and lean efforts
Assists and participates in regulatory agency audits
Serve as an internal consultant by providing guidance and meaningful interpretations of applicable regulations to quality and clinical teams
Provides guidance and approval regarding quality strategies and approaches
Provides guidance and training to staff, assists subordinates in attaining career goals, motivates individuals to achieve results, and recruits and maintains a high quality staff
Assists in and/or completes the development of budgets and monitors spending
Assists in identifying and developing department tools
Assists in and/or determines appropriate staff levels, schedules and resources. Works with project managers to understand priorities and plan resource and time allocation accordingly
Maintains and enhances cross-functional team relationships
Works cross-functionally in identifying and resolving technical issues
Monitors and evaluates project and department progress and results
Position requires 30 to 40% travel
Bachelor's degree in Life Sciences, Engineering, Medical or related field
8+ years of clinical quality systems and GCP auditing experience in the medical device, pharmaceuticals, CRO or comparable environment
Comprehensive working knowledge of the clinical research process including the FDA Code of Federal Regulations (21 CFR Part 11, 50, 54, 56, 58, 312, 812, 820), applicable ISO standards (e.g., ISO 13485, ISO 14971) and other key relevant global regulations. Excellent verbal / written communication, interpersonal, and organizational skills; must be able to multi-task, assimilate, and analyze information quickly
Computer skills required are MS Word, Excel, MS Outlook, and general database experience
Master’s degree in a relevant field preferred
Willingness to be proactive, work independently, and as a contributing member of a dynamic, highly visible team
Management experience prefered, previous experience leading a team of remote employees preferred

LTS Regulatory Compliance Manager Resume Examples & Samples

Bachelor's degree or 7 years of experience in Banking or Financial Services
5 years of experience with financial services
5 years of regulatory and audit experience
3 years of flood insurance regulatory experience
2 years of managing staff

Waste Regulatory Compliance Manager Resume Examples & Samples

Coordinate logistics for transportation of hazardous and non-hazardous waste from client site including profiling, scheduling, manifesting and physically loading bulk and drum loads
Consult with client to identify, design and implement cost saving opportunities and proposals
Promote culture of safety by ensuring site personnel are properly trained to perform assigned duties and comply with safety, environmental, federal, state & local regulations
Education: Bachelor's Degree (accredited) in Environmental Sciences, Accounting or Business, or in lieu of degree, High School Diploma or GED (accredited) and 4 years of relevant work experience
Experience: Two years of waste regulatory compliance experience (in addition to education requirement)
An entrepreneurial skill set is highly valued with the ability to creatively achieve stretch goals and provide new services and value to existing customers
Supervisory and team building skills
Creative problem solving and innovative thinker
Effective and concise communication
Adept decision making
Strong business acumen and financial knowledge
Customer-focused

HR Regulatory Compliance Manager, VP-tempe Resume Examples & Samples

Requires a BA or BS degree and 5+ years experience compliance, internal or external audit or other risk management functions within a financial institution, and 5+ years experience in Human Resources
Must have an understanding of Human Resources functions and possess strong knowledge of the compliance requirements and inherent risks in a variety of HR functions
Demonstrated skills in risk and control assessment and analysis
Strong analytical skills, excellent communication skills, and good judgment

Regulatory Compliance Manager AIM Chicago Resume Examples & Samples

BA/BS degree in a related field
5+ years’ regulatory experience or experience with Medicare Administrative Contractor (MAC), Medicare Advantage Plan or in Medicare operations at the Centers for Medicare & Medicaid Services (CMS)
Government Programs experience preferred
Medicare and/or Regulatory experience preferred

Regulatory Compliance Manager Resume Examples & Samples

Degree in Environmental Science
Minimum of 5 years in the Pest Management industry
Ability to analyze and interpret legal documents
Excellent telephone techniques
Conflict resolution abilities
Ability to implement necessary regulatory policies and procedures in an industrial environment to comply with federal and state laws and regulations
Sound judgement and decision-making abilities
Basic mechanical systems and repair
Strong knowledge of OSHA, DOT and EPA laws and regulations
General office procedures and equipment
Proficiency with PC’s and computer software
Strong knowledge of pest-control operations and auditing procedures

Regulatory Compliance Manager Clinical Research Compliance Resume Examples & Samples

IND/IDE Office Operations and Staff Management
FDA Liaison for MSKCC Sponsored Clinical Trials
Multicenter (MCT) Investigational New Drug Management
Investigational Drug and Device Committee (INDDC) Reviewer
Research Regulatory Compliance
Training and Education Program Development
Investigational New Drug Cost Recovery/ Orphan Drug Designations/ Pre-IND Meetings

Senior Regulatory Compliance Manager Resume Examples & Samples

Bilingualism in English and Spanish is a plus
Previous management experience is preferred
Licensed Customs Broker is preferred

Regulatory Compliance Manager AIM Chicago Resume Examples & Samples

5 - 7 years related regulatory or contract compliance
Previous experience in client management preferred
Previous experience in Medicare or Medicaid a plus

Regulatory Compliance Manager With Life Sciences Domain Experience Resume Examples & Samples

Manage and oversee the compliance analysts within a team/account
Report Compliance issues , deviations from QMS and Security breaches due to non-compliance to the appropriate audience
Perform monthly self-assurance tests in all applicable process area on SOx environments to ensure that all controls are in-line with the SOx requirements
Share the monthly SOx reports with the SOx control owner for review and approval
Communicate new/updated trainings suggested by client to the support team, follow up and track to completion
Perform roles of a Compliance Analyst where applicable
Good understanding / knowledge of Computer Systems Validation (CSV) and change management in a GxP environment
Proficiency Legends

Regulatory Compliance Manager Resume Examples & Samples

Requires BA/BS degree in a related field required, MBA/MA preferred
5 - 7 years related regulatory or contract compliance with ability to analyze, write and integrate highly technical information into action plans; or any combination of education and experience which would provide an equivalent background
Medicare care experience required. Must be proficient with Excel, Word and PowerPoint. Experience with CMS audits preferred
Experience with risk assessment, monitoring reviews a plus

DST Brokerage Regulatory Compliance Manager Resume Examples & Samples

Responsible for the development, oversight, and enhancement of the compliance program and provide ongoing compliance support and advice for the day to day activities of the firm. This includes the development of the firm Annual Compliance meeting and Firm Element training; provide support with respect to all licensing and registration activities; outside brokerage account review and outside business activities review and approval; coordination and completion of branch audits; review communications within the firm and with the public in compliance with FINRA regulations
Inform and advise the President and senior officers of the status and effectiveness of the DST Market Services Compliance program as prescribed under FINRA regulations, specifically rules 3120 and 3130
Responsible for the coordination of audits for all activities supported by the firm. This includes FICCA, SOC1, Annual Financial Audit, Client Risk Assessments and Client initiated audits
Serve as primary liaison to FINRA for all communications and activities as it relates to exams and ongoing general interactions and communications
Serve as AML Officer for the firm. For AML functions establish and implement policies and procedures that can be reasonably expected to detect and cause the reporting of suspicious transactions
Serve as the broker dealer representative for the Enterprise Risk Oversight Committee (EROC)
Responsible for all leadership committees designed as part of the firm’s governance model
Responsible for monitoring regulatory and business changes, ensuring communication of changes in compliance requirements and creation/revision of policies, procedures and controls in assigned areas to meet new requirements
Communicate and train internal associates on rules and regulations interpretations and the policies and procedures related to compliance
Review and ensure advertising and sales materials are compliant with FINRA regulations
Research issues, projects and initiatives and advise department heads on staff on regulatory requirements, as well as possible regulatory ramifications
Design, Implement and coordinate all activities related to the firm’s business continuity planning efforts
Provides regulatory and compliance advice to mitigate/reduce risk in the development and implementation of new products; assisting employees and clients
A minimum of a BS or BA
Series 7 & 24 licensed
10 + years’ experience in a compliance department or other internal control function at a financial services company with a proven track record of initiating and sustaining successful and effective compliance program
Proven interpersonal and communication skills sufficient to interact with all levels of management
Extensive experience interacting with FINRA, SEC and state regulators
Creative and strategic approach to problem solving and change management
Excellent project management skills with ability to adapt quickly to changing priorities and timelines
Detail oriented with excellent written and oral communication skills
Demonstrated high level of reliability, flexibility and dedication

Regulatory Compliance Manager Resume Examples & Samples

Manage the identification, assessment and development process for emerging and drafted HSSE legal and regulatory requirements affecting BP Shipping, with specific focus on IMO regulations, conventions and protocols, the European Community and the wider EMEA region affecting existing and the new build programme. This would require attendance at IMO meetings as well and preparing regulatory briefs for the business
Manage the Quarterly compliance meetings and manage the process for implementation and promulgation of operational controls, with progress in relation to ratified, new or amended international, regional and major national legal requirements
Liaise with Regional GIA's to communicate regional developments and capture it appropriately in Legal and Regulatory Register with tracking to implementation
Ensure Legal and regulatory requirements are adequately captured and implemented in the appropriate system with engagement of the Document Owners/Approvers
Ownership of the HSSE legislative lifecycle processes, procedures and documentation
Attend Periodic Group Compliance management system briefings, co-ordinate regulatory compliance efforts with other regional stakeholders and with BP Group where appropriate
Develop periodic regulatory matters brief for the Fleet and support embedding of environmental regulations in close collaboration with the Environmental and Social Manager
Provide regulatory affairs advocacy through trade associations, industry partners and other non-profit and non-governmental organisations to shape draft regulations and influence policy makers
Manage Key relationships with communities and stakeholders as part of regulatory compliance obligations
Deep understanding of Maritime regulations and how they will get implemented for Operational compliance
Ability to read regulatory consultations and incoming requirements and provide solutions for the Fleet with pro-active engagement
Proven track record in influencing stakeholders
Excellent communication skills both verbal and written to articulate regulations in a succinct manner
Experience of building and maintaining positive relationships with a variety of internal and external stakeholders and regulatory bodies
Experience of dealing with complex issues to identify coherent solutions, delivering presentations to Senior Management and understanding fleet operational interface
Excellent interpersonal skills and an ability to work in a multi-cultural and global business environment
Knowledge of Shipping-related international and national legislation and regulations
Excellent Presentation skills
Knowledge and understanding of OMS compliance frameworks
Knowledge of dealing with the regulators, IMO, EU and external Trade Bodies
Shipping operations experience, preferably aboard Tankers, LNG vessels or offshore vessels
Previously held qualifications as unlimited Master or Chief Engineer’s licence or equivalent experience in the fleet operations regulatory environment

Regulatory Compliance Manager Resume Examples & Samples

Interprets and analyzes new regulations and laws that govern Lyft’s operations. Provides strategic advice and guidance on implementing those laws, working closely with the product, legal, communications, and operations teams
Works closely with regulators in various jurisdictions to negotiate for favorable regulations that support the company’s business objectives. Maintains ongoing positive relationship with regulators
Works closely with legal and government relations to draft correspondence, comments, and position papers touching upon Lyft compliance matters
Meets corporate compliance objectives by forecasting requirements, analyzing variances, and initiating corrective actions
Works closely with legal and government relations to recommend public policy strategies and operational impacts
Keeps management, operational, and marketing areas informed of compliance issues
3+ years of legal experience at a mid to large size law firm, government regulatory entity or in-house at a technology company, with a J.D. from a top law school
Outstanding writing, research, negotiating, and interpersonal skills. Strong oral advocacy and presentation skills
Experience advising fast growing businesses in a regulated industry
Proven ability to work cross functionally to achieve maximum compliance while minimizing the impact of compliance on the business
An understanding of the transportation industry, ridesharing, payments, or other fast growing newly regulated industry

Regulatory Compliance Manager Resume Examples & Samples

Developing and providing specialist regulatory risk management support and advice to ensure that Group policies and procedures are being followed, and that behaviour across the Energy Infrastructure Division consistently meets all aspects of the company’s regulatory trading objectives
Ensuring that the business has an effective and robust approach to regulatory compliance that remains proportionate to its activities and is understood by all stakeholders
Promoting, coordinating and monitoring the implementation and development of a culture of compliance with all regulatory obligations
Defining the risk compliance business objectives for the Energy Infrastructure business for the next 24 – 36 months on an annual basis and acting as the focal point for ensuring that the objectives are delivered
Acting as the focal point for the continuing development, documentation and operation of a regulatory compliance framework for the UK Infrastructure business and coordinating a consistent approach both across the UK business and cross-functionally with the wider ENGIE Group
Detailed knowledge of and experience in the UK power generation and energy market
Excellent communication skills both oral and written
Strong interpersonal and relationship skills, with the ability to work effectively with people at all organisational levels and to influence and persuade others in a constructive manner
Ability to work in a highly technical and collaborative environment, engaging key stakeholders to develop pragmatic solutions to complex problems
Detailed understanding of processes and controls within the business
Good commercial decision making and judgement
Excellent organisational skills - able to manage conflicting and demanding priorities
Ability to undertake duties without direct supervision
Confident verbal and written communication skills
Self-motivated and results orientated
Takes ownership and accountability for achievement of business goals
Ability to work closely with multiple internal stakeholders, ability to build strong relationships
Flexibility - demonstrates sensitivity to the changing requirements of a diverse client group; shift priorities, change style and respond with new approaches as needed
Actively seek opportunities to originate, action, encourage and develop new ideas
Diligent and reliable with strong execution skills

Regulatory Compliance Manager Resume Examples & Samples

To liaise with staff at all levels within the organisation, providing regulatory compliance advice as required and, by doing so increase overall compliance awareness
Deputise for the Director of Quality and Regulatory Compliance in compliance activities
To interpret current regulatory guidance and agree site implementation with the Director of Quality and Regulatory Compliance
To review and approve change controls and batch documentation, failure investigations and CAPAs
To perform risk assessments and support other departments during risk analysis, and assist in complaint investigations and write up of reports
To assist in the preparation of GMP training programmes at the Edinburgh facility and implement current GMP regulations and guidance
To manage to quality metrics monitoring of Trackwise data providing oversight and reports as required
To host customer quality audits in Edinburgh and provide written feedback
Monitoring of customer audit actions and close out, and supporting QA in auditing our service and material suppliers
Experience in the Pharmaceutical Industry essential, as well as experience of validation practices and current expectations
Knowledge and experience of FDA and MHRA requirements essential
Degree qualified in science or related subject
Strong IT skills
Strong communication skills and the ability to work across departments with individuals at all levels

Senior Regulatory Compliance Manager Resume Examples & Samples

Bachelor’s Degree Required
Law Degree or Master’s Degree in Business Administration, Finance or related field strongly preferred
10 or more years of combined Legal/Compliance experience
3 or more years of Regulation W experience
Strong working knowledge of banking regulations and subject matter expert in Regulations W/O
Strong writing skills, including ability to draft policies and procedures clearly and concisely
Strong analytic ability and oral communication skills
Strong managerial skills
Able to grasp and translate complex and theoretical concepts into practice
Able to multitask and work effectively in a deadline driven environment

Regulatory Compliance Manager Resume Examples & Samples

Serves as a quality and regulatory compliance expert to the CAPS Operations. Maintains comprehensive knowledge of applicable quality and regulatory requirements and their interpretation
Assist in the development and support of the company audit program (internal, supplier, customer and regulatory) to ensure timely and effective corrective/preventative actions are developed, implemented and verified to resolve audit observations, while maintaining compliance with applicable FDA Quality System Regulations, USP Regulations, industry standards and meeting/exceeding current industry practices. Serve as the key leader within CAPS to establish, implement and maintain audit readiness program
Develop, review and verify responses to regulatory agency findings or internal and/or customer observations
Support Operations to develop requirements for external supplier qualification and ongoing assessments for the manufacturing, laboratories and services areas
Provide guidance and regulatory advice during the development, implementation and effectiveness verification of the corrective/preventive actions according to the established procedures and established action plans
Host/support external audits, compliance inquiries and/or surveys
Develop, track, trend and report to management on compliance metrics. Identify, communicate and escalate to Executive Management, as required, compliance issues and risks for further comprehensive action
Participate in the development and execution of quality/regulatory-related training and education
Provide support in collaboration with Pharmacy and Quality Operations for the investigation and root cause analysis of product, process and quality systems gaps, deviations and discrepancies
Provide support for product impact assessments when gaps, deviations and non-conformances in product, processes and quality systems are identified; and provide recommendation of appropriate actions
Work interactively with cross-functional teams to achieve company business and quality goals/objectives
Stay abreast of evolving regulatory and industry standards trends that are relevant, and ensure that appropriate action is initiated and communicate these trends to applicable personnel
Ensure compliance to applicable regulations and standards
Responsible to hire, develop, promote and discipline regulatory compliance personnel
Good working knowledge of Pharmaceutical (USP , 21 CFR 210 & 211, and 503B, and USP ) and Medical Device (21 CFR 820) Quality System Regulations
Good working knowledge of USP, FDA, ISO and ICH requirements
Excellent computer and PC skills including experience with MS Office applications, database and statistical applications
Sufficient human relations and leadership skills to effectively staff and manage relevant personnel, including external consultants, and functions to assure that company goals and responsibilities are met
Ability to act effectively as a member of a team to resolve problems
Ability to simultaneously work on several projects with the flexibility to reprioritize in a minimum amount of time
Ability to investigate and analyze technical and regulatory issues
BS degree in technical or scientific discipline and eight or more years of related experience preferably in the pharmaceutical or medical device industry
Experience in auditing for performing and hosting internal audits, supplier audits, 3rd party audits, Board of Pharmacy/FDA/ISO regulatory inspections
Experience with USP, cGMP’s, and FDA guidelines
5 or more years Management experience
Certified Quality Auditor (CQA) Preferred
Experience with State Board of Pharmacy
MS or PhD in a related science

Regulatory Compliance Manager Resume Examples & Samples

10+ years of aerospace experience in an operations or quality management role with an emphasis on regulatory requirements
Bachelors Degree in Operations, Engineering, Business Management or other relevant field
Knowledge and the ability to articulate FAA and other NAA regulatory requirements for repair stations/authorized maintenance facilities, and/or manufacturing operations
Knowledge of Quality Management System
Demonstrated ability to lead change initiatives and drive process excellence
Strong project planning and management skills
Demonstrated ability to build, manage, energize and motivate high performing teams and the ability to influence organizations that do not report to you
Adaptable to fast-paced environments with changing circumstances, direction, and strategy within a diverse organization
Excellent verbal, written and inter-personal competencies

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