Regulatory Compliance Officer Resume Samples

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S Ziemann

Sean

Ziemann

77919 Torey Terrace

Boston

+1 (555) 768 3212

77919 Torey Terrace

Boston

Phone

p +1 (555) 768 3212

Experience Experience

San Francisco, CA

Regulatory Compliance Officer

San Francisco, CA

Becker, Grimes and McKenzie

San Francisco, CA

Regulatory Compliance Officer

Assisting the Head of Regulatory Counsel with the coordination of the development and maintenance of compliance policies and procedures for the EMEA region
Represent QA on development projects and process improvement initiatives
Issuance of applications in company’s internal system to generate (new) codes for supply chain management
Work on product renewals and deficiency letters
Assisting the Head of Regulatory Counsel with regards to all licensing issues in relation to the firm�s UK and EMEA legal entities
Providing site regulatory assessment on Change Control, process deviations & ongoing projects. Answering site Regulatory queries
Proactive co-ordination of the QA Compliance Systems such as Deviations/CAPA, Change Control, Customer Complaints, Internal Audits, Vendor management

Boston, MA

Singapore Regulatory Compliance Officer

Boston, MA

Jacobson Inc

Boston, MA

Singapore Regulatory Compliance Officer

Primarily responsible for data retrieval, analysis and compilation of information for regulatory enquiries from Monetary Authority of Singapore, Inland Revenue of Singapore, Commercial Affairs Department as well as foreign regulators
Maintain database of regulatory enquiries, due diligence conducted for internal reporting
Assist / participate in regulatory inspections, industry consultations and other ad hoc regulatory projects
Provide ad hoc regulatory compliance advisory to internal stakeholders such as Front Office, Middle Office and other internal departments
Assist and conduct reviews as part of the Monitoring, Surveillance and Assurance team
Maintain a strong and transparent communication channel with the MAS demonstrating solid concepts of corporate governance and sound risk management practices
Coordinate inputs for regulatory queries from businesses and shared services

present

Houston, TX

Senior Regulatory Compliance Officer

Houston, TX

Blick Group

present

Houston, TX

Senior Regulatory Compliance Officer

present

Perform daily Regulation W/O activities such as evaluation of routine affiliate transactions and insider lending
Lead working groups on critical Regulation W/O projects
Perform detailed analyses of complex affiliate transactions involving the global institution and worldwide affiliates
Completes internal testing of department documentation and research for data integrity, consistency in work product and adherence to Company policies and procedures. Maintains constant awareness of new and amended regulations and assesses their impact on assigned areas. Assists in implementing changes to products, services, systems and operations to maintain compliance
This role will have compliance adherence responsibility driven by the line of business supported. This position supports the following lines of business, including but not limited to
Assists in monitoring compliance in the assigned line of business including the identification of regulatory and operational risks and controls to mitigate risks. Works with business management in projects affecting assigned line of business and/or area of regulatory specialization (including system testing)
Design new processes to improve efficiencies and mitigate Regulation W/O risk

Education Education

Bachelor’s Degree in Business

Florida International University

Bachelor’s Degree in Business

Skills Skills

Strong ability to manage, facilitate and prioritise work projects
Ability to multi-task while maintaining careful attention to detail
Strong presentation skills/Advanced Power Point / Excel
Strong oral and written communication
Working knowledge of the Investment Advisers Act of 1940
Accuracy and attention to detail in presentations and publication of reports to a senior audience
Ability to work effectively both individually with little direct supervision and within a team environment
Ability to maintain confidentiality concerning sensitive confidential client information
Ability to work with a sense of urgency to meet deadlines and address competing priorities
In-depth understanding of applicable SEC rules and regulations

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Gf-south Asia Regulatory Compliance Officer Resume Examples & Samples

Providing proactive and effective compliance advisory support to the private banking business involving South Asia, with a primary focus on the activities conducted out of Singapore
Coordination with Country Compliance Officer to provide compliance coverage for the onshore platform in India
Building effective relationships with regulators and managing regulatory reporting, onsite audits and regulatory enquiries, in coordination with the respective Country Compliance Officers
Developing and implementing compliance programs to analyze, monitor and control regulatory risks
Working closely with business, control functions, and other compliance teams on delivery of compliance projects and implementation of regulatory initiatives

Assistant VP Senior Regulatory Compliance Officer Resume Examples & Samples

Sets priorities and makes day-to-day decisions independently. Escalate matters to senior management as needed
Under the direction of a more senior officer, may servce as a subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US
Articulates any control weaknesses and status of plans to address these across HNAH. Initially, this information will be part of the RCR Controls remediation Project for each regulation
3-5 years proven and progressive financial services, compliance and/or legal management experience, or equivalent
Broad scope of knowledge of assigned businesses, including products, operations, systems and organization and thorough understanding of significant regulatory compliance requirements applicable to assigned business(es)

Avp-banking Regulatory Compliance Officer Resume Examples & Samples

Maintains knowledge of and acts in conformance with HSBC internal control standards
Depending on the individual role, required professional certification (e.g., CAMS, CANNON Trust, CISA, CRCM, CCRP, CIA, CFSA, CPA, etc.) is desired
Strong communications, analytical, organizational, and planning skills

Regulatory Compliance Officer Resume Examples & Samples

Makes day-to-day decisions with direct supervision. Escalate matters to management as needed
Strong Analytical skills required
Proficient in use of Microsoft Excel, Word and Powerpoint
Ability to work in a high pressure environment and prirotize to meet deadlines
Diligent and pro-active approach, must take initiative, be a self starter, and have a high energy level
Strong analytical skills, pro-active approach, forward thinking

Avp Senior Regulatory Compliance Officer Resume Examples & Samples

Assists management in articulating any control weaknesses and status of plans to address these across HNAH. Initially, this information will be part of the Regulatory Controls Review (RCR) Controls Remediation Project for each regulation
This role typically reports to a VP or SVP level regulatory compliance officer. In some cases, this role may report to an AVP Manager Regulatory Compliance Officer
Broad scope of knowledge of assigned businesses, including products, operations, systems, and organization and thorough understanding of significant regulatory compliance requirements applicable to assigned business(es)

Regulatory Compliance Officer Resume Examples & Samples

Regulatory Counsel is responsible for a number of areas of regulatory compliance within the firm. These include
Supporting the EMEA Compliance Department�s regulatory advisory function
Assisting the Head of Regulatory Counsel with the coordination of the development and maintenance of compliance policies and procedures for the EMEA region
Supporting those functions within the firm who are tasked with the day-to-day operation of the firm�s systems and controls as they relate to Transaction Reporting, with escalation to the Head of Regulatory Counsel
Supporting those functions within the firm who are tasked with the day-to-day operation of the firm�s systems and controls as they relate to Client Money and Custody, with escalation to the Head of Regulatory Counsel
Assisting the Head of Regulatory Counsel with regards to all licensing issues in relation to the firm�s UK and EMEA legal entities
Producing management information and key performance and risk metrics to keep the Head of Regulatory Counsel and senior management within the firm informed of key issues and risks which are specific to your area of responsibility
Escalation to the Head of Regulatory Counsel of any significant issues relating to compliance with applicable regulatory requirements and the firm�s Compliance policies and procedures which are relevant to your area of responsibility
Regularly attend courses and seminars to keep up to date with regulatory, market and product developments as appropriate
Understand and keep up to date with the firm�s business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance policies, procedures and standards are implemented

Avp Senior Regulatory Compliance Officer Resume Examples & Samples

Listens to, and reviews, telephone conversations for potential inappropriate behaviors
Plays a key role in developing the voice surveillance program within HSBC
Excellent understanding of multiple products, trading floor languages, and benchmark setting processes

AVP, Senior Regulatory Compliance Officer Resume Examples & Samples

Provides support to ensure business lines appropriately incorporate change to align with new or revised regulatory requirements. Supports business lines and Local Compliance Officers in development of solutions to ensure compliance with assigned regulation(s), regulatory requirements, and/or compliance risks
Helps to ensure future business growth is attained in a responsible and conscientious fashion while the operation remains regulatory compliant and commercially sound
Role Context The AVP Manager will be part of the Markets Surveillance program within U.S. Global Banking & Markets. They will be responsible for implementing and undertaking surveillance of electronic and audio communications which have taken place within a trading floor environment
Performs daily monitoring of electronic communication and audio data searching for potential misconduct or inappropriate behavior
Uses banking and markets background to detect evidence of wrongdoing and has the ability to escalate and articulate matters to stakeholders
Undertakes basic regulatory reporting responsibilities through Electronic Bluesheet submissions, escalations and follow up
Is knowledgeable about the results of any relevant BRCM reviews, CTAC testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Provides support to ensure remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks
Minimum of three to five years proven and progressive financial services, compliance and/or legal management experience, or equivalent
Well-developed communications, analytical, organizational, and project management skills

Regulatory Compliance Officer Resume Examples & Samples

Knowledge of data mining algorithms and statistics a plus
In-dept knowledge of tools like Minitab, R, or SAS a plus
Knowledge in developing, designing and implementing data mining models using ordinary linear regression, logistic regression and ANOVA a plus
Integrate models in Fair Lending Investigation and Research and ensure to share findings with internal and external FRBC team a plus

Senior Regulatory Compliance Officer Resume Examples & Samples

Card Services
Completes internal testing of department documentation and research for data integrity, consistency in work product and adherence to Company policies and procedures. Maintains constant awareness of new and amended regulations and assesses their impact on assigned areas. Assists in implementing changes to products, services, systems and operations to maintain compliance
Minimum of five years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent
Thorough knowledge of products, services, operations and systems and extensive dealing with laws, regulations and regulatory agencies related to assigned areas

Singapore Regulatory Compliance Officer Resume Examples & Samples

Primarily responsible for data retrieval, analysis and compilation of information for regulatory enquiries from Monetary Authority of Singapore, Inland Revenue of Singapore, Commercial Affairs Department as well as foreign regulators
Investigate and review regulatory enquiries to assess whether there was any suspicious activity that requires internal or regulatory escalation
Maintain database of regulatory enquiries, due diligence conducted for internal reporting
Assist / participate in regulatory inspections, industry consultations and other ad hoc regulatory projects
Provide ad hoc regulatory compliance advisory to internal stakeholders such as Front Office, Middle Office and other internal departments
Assist and conduct reviews as part of the Monitoring, Surveillance and Assurance team
Background from either Private Bank, Audit Firms (Big 4) or SG regulatory bodies
Good IT, numeracy, data analytical, detailed skills
Able to work independently, multi-task and under pressure to meet tight deadlines

Regulatory Compliance Officer Regulatory Reform Strategy Group Resume Examples & Samples

Developing a robust global compliance program for the bank's securities-based Swap Dealers, including assisting the bank’s Chief Compliance Officers (CCO) in satisfying their duties and responsibilities under new and pending SEC rules
Recommending and implementing enhancements to the Swap Dealer compliance program and related policies/procedures as needed on an ongoing basis
Assisting with annual gap analyses to identify and update all impacted bank policies globally based on new swap reform regulations, including CFTC, NFA and SEC regulations
Assisting with the development and implementation of policies/procedures as necessary to comply with international regulation applicable to the bank's swap activities in the US
Developing and maintaining reports for review by senior management analyzing compliance issues, conflicts of interest or other matters including tracking status of issues disclosed in the annual reports
Working with business management and compliance surveillance, testing, and audit staff on the development of Swap Dealer controls and surveillance
Working with compliance training staff on the development and coordination of initial and ongoing training for employees on requirements impacting the Swap Dealer(s)
Assisting with preparing the Annual Report for each Swap Dealer and any other required periodic reports that the CCO for these entities will be required to make to the governing body or relevant regulatory authorities
Conducting additional CCO-related duties including ongoing maintenance of the Swap Dealer Manual, 4s submissions to the NFA, and other projects as directed by the Head of Regulatory Reform Strategy
Assisting stakeholders across the bank in understanding proposed SD rules and associated obligations to inform the bank’s advocacy
Graduate degree (e.g., JD or MBA)
5-10 years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a law firm or trading environment
Knowledge of Dodd-Frank/derivatives regulations
Strong organizational skills and attention to detail

VP Regulatory Compliance Officer Resume Examples & Samples

Serves as subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US
Serves as the central point of contact for US Compliance and oversees the accuracy of the information regarding the regulation in the risk assessment tools while serving as the advocate for consistency of controls
Is Knowledgeable about the results of any relevant BRCM reviews, CTAC testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Ensures remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks
Articulates any control weaknesses and status of plans to address these across HNAH. Initially, this information will be part of the Regulatory Controls Review (RCR) Controls Remediation Project for each regulation
Typically works under the direction of the SVP Regulatory Compliance, but in some cases, may be the lead regulatory officer for assigned area
Minimum 10 years proven audit, compliance, financial services and/or regulatory experience, or equivalent
Well-developed managerial, communications, negotiation, analytical, interpersonal, organizational, project management and strategic and/or operational planning skills

AVP Regulatory Compliance Officer Resume Examples & Samples

Completes deliverables as assigned to support internal customers such as RBWM, Institutional Fixed Income, Equities, US and Foreign Research, Futures, HSBC Bank USA N.A., AMUS, CMB and Foreign Affiliates. As necessary, provides support for these business units in their efforts to respond to external customers as state and regulatory agencies
Identifies individual violations from a regulatory perspective and provides guidance towards a resolution which is supervised by the Manager
This role reports to the VP Registration Manager
Five to seven years proven and progressive regulatory compliance and/or legal management experience or equivalent
Knowledge of regulatory state licensing and registration requirements a plus
Strong communications, analytical, interpersonal, organizational, project management, document production and planning skills

Senior VP Regulatory Compliance Officer Resume Examples & Samples

Ensures business lines appropriately incorporate change to align with new or revised regulatory requirements. Supports business lines and LCOs in development of solutions to ensure compliance with assigned regulation(s), regulatory requirements, and/or compliance risks
Sets priorities and makes day-to-day decisions independently. Escalates matters to senior management as needed
Serves as subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US. Serves as the central point of contact for US Compliance and oversees the accuracy of the information regarding the regulation in the risk assessment tools while serving as the advocate for consistency of controls
Is knowledgeable about the results of any relevant BRCM reviews, CTAC testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Ensures remediation efforts are on track for assigned regulation(s), regulatory requirements, and/or compliance risks
Articulates any control weaknesses and status of plans to address these across HNAH. Initially, this information will be part of the Regulatory Controls Review (RCR) Controls remediation Project for each regulation
Minimum of 15 years proven and progressive financial services, compliance and/or legal management experience, or equivalent
Well-developed managerial, communications, negotiation, analytical, organizational, project management, and strategic and/or operational planning skills
Broad scope of knowledge of banking businesses, including products, services, and operations and full understanding of compliance requirements applicable to assigned regulation(s), regulatory requirements and/or compliance risks. Ability to proactively and effectively advise business lines on regulatory compliance
Proficiency with personal computers, pertinent mainframe systems, and software packages (MS Office)

AVP, Bank Regulatory Compliance Officer Resume Examples & Samples

Ongoing execution and administration of the compliance monitoring program including, but not limited to the timely execution of monitoring procedures, work paper compilation/review and reporting of results
Assisting in the ongoing development, implementation and refinement of a comprehensive compliance program
Conducting annual risk-assessments of banking laws and regulations in support of a risk-focused compliance monitoring and testing framework
Conducting annual compliance policies and procedures reviews, including the development and implementation of new policies and procedures, as needed
Overseeing the ongoing surveillance of employee personal trading activity including, but not limited to on-boarding of new employees, watch/restricted list maintenance, timely disposition of violations, reporting and maintenance of the surveillance system
Assisting in the development, delivery and tracking of corporate compliance training
Performing ad-hoc special projects assigned by the Chief Compliance Officer or Local Compliance Officer
The ideal candidate should have 3-5 years of bank compliance experience
Supervisory experience and audit background are a plus
Knowledge of U.S. banking laws and regulations required
Familiarity with Compliance Science’s - Personal Trading Control Center application is a plus
Knowledge of commercial banking products and businesses
Strong interpersonal and communication skills (verbal and written)
Ability to work well independently or within groups
Management of processes will require a “hands on” approach
Ability to manage multiple tasks and deliver a quality work product
Ability to quickly adapt to changing tasks and workload

Bank Regulatory Compliance Officer Resume Examples & Samples

Familiarity with drafting management briefing documents and developing management reports
Previous banking or compliance experience
Audit and/or CPA firm experience a plus
Bachelors Degree or higher education level of experience

Singapore Regulatory Compliance Officer Resume Examples & Samples

Maintain a strong and transparent communication channel with the MAS demonstrating solid concepts of corporate governance and sound risk management practices
Coordinate inputs for regulatory queries from businesses and shared services
Provide day to day regulatory or compliance advice on relevant laws and regulations for shared services such as Finance, Operations, IT and Risk
Monitor, assess, and advise on the implications of applicable new laws, rules and regulations, consultation papers and develop or update the relevant internal compliance policies as well as provide / coordinate training, where necessary
Compile timely management information reports for the monitoring of key risk arising from Credit Suisse entities in Singapore
Participate in various internal projects with related parties to drive compliance with regulatory requirement
Escalate material legal, regulatory, reputational and compliance risks and/or incidents to the Bank’s senior management

Regulatory Compliance Officer Resume Examples & Samples

Preparation and submission of registration documentation documentation (Chemistry, Manufacturing and Control (CMC))
Issuance and follow up of change control for proposed changes relative to local manufacturing site
Issuance of applications in company’s internal system to generate (new) codes for supply chain management
Work on product renewals and deficiency letters
Support business partners in regulatory topics

Regulatory Compliance Officer Resume Examples & Samples

Minimum 3 years’ experience within the pharmaceutical industry
Relevant experience in GMP/GLP environment
Proven track record as a team player
High level of proficiency in Microsoft Word/Excel
]Proficiency in speaking, comprehending, reading and writing English is required

Regulatory Compliance Officer Resume Examples & Samples

To review registration information supplied by various registration centres and provide the information as appropriate to the relevant departments
To prepare, review and approve Manufacturing and Analytical records and approval of External product documentation, in accordance with registered details
To coordinate the MRA Reduced Testing and Annex 16 Programmes
To support Product Transfer and Product Launch compliance activities
To support change control and the registration variation process
To support continuous improvement projects for the Operational Excellence Programme
Involvement in site projects from a Regulatory Compliance perspective
To maintain high standards of GMP at all times
Any other duties assigned by the Regulatory Compliance Manager/QA Director
Minimum 3 years experience within the pharmaceutical industry
Strong organisational skills / ability to prioritize work.Proven track record as a team player

Senior Regulatory Compliance Officer Resume Examples & Samples

Must have successfully completion your probationary period
3rd level qualification in science related discipline
3 - 5 years’ experience within the pharmaceutical industry
Relevant experience in regulatory group in a GMP/GLP environment
Strong organizational skills / ability to prioritize work
Proficiency in speaking, comprehending, reading and writing English is required

Junior Bank Regulatory Compliance Officer Resume Examples & Samples

Knowledge of US banking system and regulations
Experienced with MS Outlook, Excel, Word, Powerpoint, GRC workflow tools
Minimum 1 year of banking or compliance experience, preferrably dealing with Bank Regulatory Compliance

Regulatory Compliance Officer Resume Examples & Samples

Proactive coordination of the site regulatory processes. Liaising with global RA to ensure the Cork site input & review/approval of Regulatory submissions & renewals
Providing site regulatory assessment on Change Control, process deviations & ongoing projects. Answering site Regulatory queries
Maintenance of Site Master File/Manufacturing l Authorisations, completion of annual reports & PQRs
Response to queries from markets & provision of necessary documentation
Site rep at global guideline monitoring team, Ensuring new regulations are gap assessed & implemented in a timely manner at the site
Proactive co-ordination of the QA Compliance Systems such as Deviations/CAPA, Change Control, Customer Complaints, Internal Audits, Vendor management
Provide support to plant regarding resolution & approval of compliance issues/actions (Deviations/CAPAs)
Upgrading the quality systems and providing frontline response to system related queries from other departments is a key function within the role
Approve of site GMP documentation (validation protocols/reports, analytical reports, SOPs)
Participate in the Site internal auditing function as appropriate
Participate in the organisation of compliance audits from external regulatory bodies (HPRA FDA) and drive timely closure for actions from these inspections
Support the development, maintenance, reporting and presenting of Quality System metrics & support local QA management regarding preparation and execution of Quality Management Reviews
Represent QA on development projects and process improvement initiatives
Support team members & perform other activities in the areas of GMP compliance & Regulatory Affairs, when required
Provision of ongoing GMP refresher training to the site
Third Level Qualification in Science-based discipline or equivalent
Proven years of experience in a GMP regulated environment
Previous experience in Regulatory Affairs/Compliance desirable
Proficient with relevant MS Office applications
Energetic self-starter, ability to work to and meet strict deadlines
Need to be team focused
Passionate about ensuring plant regulatory compliance is maintained

Regulatory Compliance Officer Resume Examples & Samples

Working knowledge of FINRA rules and regulations
Working knowledge of the Investment Company Act of 1940
Working knowledge of the Investment Advisers Act of 1940
Working knowledge of complex mutual fund products including closed-end and closed-end interval funds, exchange traded funds, alternative investments, CFCs, commodities, swaps, and currencies
Ability to work effectively both individually with little direct supervision and within a team environment
Proficient skills with Microsoft Office software including Word, Excel, PowerPoint and Outlook
Effective problem solving and organizational skills
5-10 years regulatory experience at the SEC strongly preferred
Mutual fund compliance and/or investment adviser compliance experience required
Prior financial services due diligence experience preferred
Prior auditing or legal experience preferred
Prior experience working with hedge funds and/or alternative investments preferred

Legal & Regulatory Compliance Officer Resume Examples & Samples

Support the ongoing management of regulatory and compliance obligations, including document tracking, monitoring, assurance auditing, analysis and reporting
Identifying and communicating regulatory and compliance trends and topics
Support the ongoing coordination, maintenance and updating of the company’s regulatory and compliance training programs
Support the preparation of submissions to industry bodies and regulators
Provide advice to our business on legal risk management topics and appropriate remedial measures
National Consumer Credit Protection Act 2009 (Cth)
Corporations Act 2001 (Cth)
Privacy Act 1988 (Cth)
Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth)
Competition and Consumer Act 2010 (Cth)

Senior Regulatory Compliance Officer Resume Examples & Samples

Law or Master’s Degree in Business Administration, Finance or related field strongly preferred
7 - 10 yrs. combined Legal/Compliance experience
3 - 5 yrs. 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
Able to grasp and translate complex and theoretical concepts into practice
Able to multitask and work effectively in a deadline driven environment

AVP Senior Regulatory Compliance Officer Trade Resume Examples & Samples

Under the direction of a more senior officer, serves as a subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US
Knowledge in Private Bank and Asset Management activity and surveillance
Understanding the concept of Trade and E-Comms Surveillance and its functionality
Experience in developing and reviewing daily trade surveillance reports, and deal with various ad-hoc special projects simultaneously
Experience in dealing with business, internal testing groups, audits, and regulatory bodies such as FINRA, SEC, OCC, and/or NFA
Thoroughly analyze automated alerts and ensure detailed, auditable, closure comments are annotated
Undertake manual surveillance tasks in a timely manner and document findings clearly
Work closely with local, regional and global, Compliance IT and Surveillance colleagues to enhance surveillance capabilities and coverage
Ensure pre and/or post implementation testing of Surveillance developments take place, and all results are thoroughly recorded

AVP Senior Regulatory Compliance Officer Surveillance Investigations Resume Examples & Samples

Manages the investigation process (internal and external) for the identification of potential market misconduct
Has responsibility for the Surveillance team’s role in Trade Reconstruction in accordance with Dodd Frank Act Title VII
Works closely with Surveillance, Front Office, IT and other stakeholders with heightened supervisory reviews and pro-active (rather than reactive) targeted reviews
Supports the Americas to effectively and promptly manage these investigations, to reduce the risk and impact to the firm
SME with an excellent understanding of Surveillance communications and trading systems, as well as the US regulatory framework
Coordinates and produces weekly and monthly MI reports to key internal stakeholders
Under the direction of a more senior officer, serves as a subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US
Is knowledgeable about the results of any relevant BRCM reviews, CMAT testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Provides support to ensure remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks
Assists management in articulating any control weaknesses and status of plans to address these across HNAH, including for the Compliance Detailed Self-Assessment (CDSA). This role typically reports to a VP or SVP level regulatory compliance officer. In some cases, this role may report to an AVP Manager Regulatory Compliance Officer
Provides support to ensure business lines appropriately incorporate change to align with new or revised regulatory requirements. Supports business lines and Local Compliance Officers in development of solutions to ensure compliance with assigned regulation(s), regulatory requirements, and/or compliance risks
Helps to ensure future business growth is attained in a responsible and conscientious fashion while the operation remains regulatory compliant and commercially sound
Strong knowledge of products across Global Markets and/or experience in investigations and forensic analysis
Ability to undertake pro-active surveillance and identify trends and patterns
Well-developed communications, analytical, organizational, and project management skills, as well as attention to detail
Broad scope of knowledge of assigned businesses, including products, operations, systems, and organization and thorough understanding of significant regulatory compliance requirements applicable to assigned business(es)
Proficiency with technology, pertinent mainframe systems, and software packages

AVP Senior Regulatory Compliance Officer Surveillance Assurance & Validation Resume Examples & Samples

Manage the assurance risks within the Americas’ Surveillance tools, including data and model governance, validation, quality assurance and issues management, to ensure effectiveness, robust data input, compliance with firm standards and in accordance with regulatory expectations
Manage the Quality Assurance process for alerts closed by onshore resources
SME with an understanding of Surveillance systems, data inputs and controls
Maintain an overview of existing coverage and known gaps or weaknesses, and works with Surveillance and Change Management to address gaps and weaknesses
Continuously reassess risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedure and practices, management restructurings, and the impact of new technology
Ensures all actions take into account the likelihood of operational risk occurring, addressing areas of concern in conjunction with Risk and relevant line colleagues, and also ensures that actions resulting from points raised by internal or external audits and external regulators are correctly implemented in a timely fashion
Knowledgeable about the results of any relevant BRCM reviews, CMAT testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Provides support to ensure remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks
Assists management in articulating any control weaknesses and status of plans to address these across HNAH, including for the Compliance Detailed Self-Assessment (CDSA)
The role typically reports to a VP or SVP level regulatory compliance officer. In some cases, this role may report to an AVP Manager Regulatory Compliance Officer
Proficiency with big data, pertinent mainframe systems, and software packages

EU Nutrition & Labelling Regulatory Compliance Officer Resume Examples & Samples

Review of completed product recipes/specifications for compliance with internal policies and country specific legislative requirements
Review of company websites for compliance with country specific regulatory requirements
Proactively identifying potential issues and implementing processes to reduce and/or eradicate their impact

Regulatory Compliance Officer Resume Examples & Samples

Act as point of contact for the plant to coordinate product related requests with a regulatory impact from LOC, production or any other department
Review and approve all product related information (main CTD dossier sections: formula, manufacturing process, specifications & methods, statements, TIs, BOMs)
Verify compliance of locally approved dossiers with plant practices for NPIs and approve system setup before launches
Participate in Site Change Control Committee, through impact assessment, implementation strategy in compliance with both GMPs and registration documentation
Verify regulatory compliance of locally registered dossiers vs global dossiers (module 3) vs plant practices
Identify and evaluate gaps and propose regulatory remediation implementation strategy in agreement with global regulatory affairs
Follow up change controls and ensure timely implementation
Ensure alignment between SMEs, LOCs and CMC in order to close HA Commitments within agreed timelines
Get escalation process under way in case of non-compliance
Bachelor in Life Sciences with proficiency in English or equivalent
Minimum 3 years’ experience in a Pharmaceutical Regulatory/Quality Environment
Strong knowledge of Module 3 / CMC chemistry manufacturing Control
Driven for accurate and detailed results, while exercising good judgement
Striving for continuous Improvement in the systems and processes supporting regulatory compliance
Fluent in French and English (oral and written)
MS Office : good command

Regulatory Compliance Officer Resume Examples & Samples

Management of product registration projects and conducting routine regulatory operations to ensure compliance with country laws and regulations ensuring these are consistent with MSD Animal Health’s policies and standards, and reflect MSD’s Code of Conduct
Co-ordinate the preparation of submissions to support product registration including changes to the manufacturing process and product testing.. This includes preparing complex data packages (e.g. full regulatory dossiers) and participating in GMP audits as well as reviewing site SOPs
Provide registration information to both internal and external stakeholders (including international counterparts)
Ensure effective systems are in place to maintain the distribution records of registration packages
Quality diploma/Science degree preferred
Knowledge of or experience working in a regulatory environment
Understanding of Good Manufacturing Processes (GMP)/ Good Laboratory Practices (GLP)
Demonstrates advanced written communication skills in report writing and document review