Regulatory Compliance Resume Samples

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E Ortiz

Evans

Ortiz

1956 Veum Highway

Boston

+1 (555) 608 7069

1956 Veum Highway

Boston

Phone

p +1 (555) 608 7069

Experience Experience

New York, NY

Regulatory Compliance Counsel

New York, NY

Ziemann and Sons

New York, NY

Regulatory Compliance Counsel

This role will also be responsible for assisting with the management of surveys
Developing a clear view on rules that may be ambiguous in their application
Working closely with UBS employees throughout the firm
Provide analytical support for and assist in the development of corporate-level compliance programs (policies and procedures), including the corporate Code of Conduct; political engagement; information privacy; records retention; and anti-bribery and anti-corruption
Partner with the Director of Market Conduct to serve as liaison to state insurance departments for regulatory examinations, inquiries and investigations, and assist in the supervision, collection and orderly production of company information and materials responsive to underlying regulator requests
Create and distribute internal reports relating to pending regulatory matters and assisting with the process for regulatory reporting obligations of Regulatory Compliance
Work closely with business and compliance personnel to formulate remedial actions and track/drive their implementation

Detroit, MI

Regulatory Compliance Coordinator

Detroit, MI

Rau-Batz

Detroit, MI

Regulatory Compliance Coordinator

Resolve pending issues delaying Customs Clearance of cargo
Up keep of C-TPAT program and continued training of UA employees and supply chain
Preparation of Export Invoices
Monthly KPI and financial reporting to Senior Leadership
Maintenance of Import Compliance manual and coordinating SOP’s
Post entry audits of U.S. Customs entries
Responsible for maintaining documents for correct record keeping and compliance

present

San Francisco, CA

Regulatory Compliance Associate

San Francisco, CA

Crona, Cruickshank and Leffler

present

San Francisco, CA

Regulatory Compliance Associate

present

Will assist the Clinical Trial Regulatory Manager to create IRB correspondence and track submission progress
Schedules and performs routine collaborations with CAPA owners, interface with CAPA Coordinator to perform timely processing of assigned CAPA files
Assist in developing and implementing institutional animal care and use policies, programs, and standard operating procedures
Perform data entry, management and tracking functions on import and export process outputs
Create and manage distribution lists for communications
Create and manage calendar of all recurring and ad hoc conference calls, meetings and events for the Clinical Trials Group
Working knowledge in regulations, policies, and nationally accepted standards regarding the care and use of animals in research, testing, and instruction

Education Education

Bachelor’s Degree in Business

University of Georgia

Bachelor’s Degree in Business

Skills Skills

Good understanding of legal knowledge related to financial law (Banking Act, Financial Instructions and Exchange Law etc.)
Proficient at MS computer knowledge (MS Word, Excel etc.)
Basic knowledge of accounting and tax or ACAMS license
Maintain focus and attention to detail
Previous experience in AML / Sanctions compliance or equivalent knowledge and skills in financial institutions or others
Great communication skills to properly convey monitoring / testing results to target destinations
Work effectively in a professional team environment
Effectively communicating complex laws and regulations in easily understandable terms
Working knowledge of CIB business processes and operations
Strong analytics

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15 Regulatory Compliance resume templates

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Regulatory Compliance Director Resume Examples & Samples

Knowledge of bank regulation
Experience overseeing or establishing enterprise-wide compliance programs
Ability to offer solution-based guidance to functions and business units
Ability to proactively research and stay current of the changing laws and regulations applicable to Regulation W
Bachelor’s degree required/JD or masters degree a plus
Strong industry experience of at least 10 years, with a background in Risk, Control, Compliance or Audit (or equivalent), preferably gained in a financial institution
Experience with Federal Reserve requirements a plus
Proficiency in Regulation W for a large complex financial service organization is desired
Prior experience implementing a Regulation W program highly desirable, but not required

GIM Regulatory Compliance Tech-java Resume Examples & Samples

Design, implement, test and maintain major server-side, client-side components and web applications
Participate in design reviews and provide design recommendations; incorporate security requirements into design; and provide input to information/data flow, and understand and comply with architectural standards in all phases
Mentor less experienced developers
Should be able to work independently in multiple projects and juggle multiple priorities
6-10 years of hands-on experience in Enterprise Application Development using Java/JavaScript, J2EE, XML, Web Services/SOA and HTML, HTML5
Advance knowledge of Javascript, Ajax, ExtJS, JQuery
Experience with open source frameworks: Open source frameworks, e.g., Spring, Hibernate, JSTL
Experience of UI design and development
Experience with Continuous Integration tools like Maven for build/deployment process
Strong understanding of object oriented programming and design patterns
Strong technical, analytical, problem solving and communication skills
Experience with system, application, and process documentation including tools such as MS-Visio, etc is a plus

Head of Regulatory Compliance Resume Examples & Samples

The role holder is required to work with considerable autonomy, in managing and leading the Regulatory Compliance function in Canada and establishing the policies and procedures of the Group in managing these risks
This can involve dealing with major issues for which there is no clear cut solution whilst still being able to provide judgement and clear direction
Where items of major consequence are involved, reference is made to the Global Head of Risk Compliance as well as the Canada Chief Risk Officer
Profound and far-reaching issues may also need to be directed to the Canada CEO
The nature of the role requires close working contact with senior executives across the Group but particularly Country Heads of Regional Compliance, Global Head of Regulatory Compliance, Head of Regulatory Compliance for Global Businesses and Functional Heads of Regulatory Compliance and Shared Services
Significant experience as a regulator, senior compliance manager or equivalent within a global firm, in the financial services industry
Detailed and extensive knowledge of the HSBC Group structure, its business and personnel, and HSBC’s corporate culture
Significant leadership experience and an experienced strategic thinker
Excellent communication and inter-personal skills, with experience of dealing with executives at all levels
A legal or formal accountancy qualification or background in one of these a risk or audit discipline

Head of Regulatory Compliance Asset Management Resume Examples & Samples

Senior level global compliance officer with leadership qualities
Role is based in New York with oversight of Canada and Bermuda
Role includes advisory function to offshore affiliates that are registered with US regulators
Conduct due diligence on US advisors that are part of the Multi-Alpha Platform
Conduct due diligence of offshore affiliates that are sub-advisors to AMUS contracted clients
Travel includes visits to the Canadian, Bermuda, sub-advisor visits and offshore affiliates managing AMUS contracted accounts
Participation in regulatory and industry meetings e.g. SEC Outreach Program, ICI in Washington, D.C
Application of Extra-territorial regulations on AMUS
10 years experience with expertise and advisory knowledge of
Investment Advisors Act of 1940
Investment Company Act of 1940
Securities Act of 1933
Securities and Exchange Act of 1934,
FINRA Rules, Dodd Frank, CFTC
Series 7, 24, 3, 63
UCITS
AIFMD
EMIR
Demonstrated process management and issue resolution
Proven decisive, good communicator with excellent presentation and interpersonal skills

SVP Head of Regulatory Compliance GBM Markets Resume Examples & Samples

Providing line management and oversight of MRC LCOs serving US domestic business in accordance with the team structure as amended from time to time
Managing, either directly or via members of the team, significant regulatory investigations, exams and inquiries
Liaising with Compliance functions in respect of the implementation of appropriate Regulatory Compliance Risk Assessment and Compliance Monitoring and Surveillance processes to ensure the effective management of regulatory compliance risk in the US
Providing proactive, timely and accurate regulatory compliance advice to enable the optimal management of the regulatory issues affecting areas of responsibility
Deputising for the Head of MRC Americas and assisting with the development of strategy for the continuous enhancement of the standards of Compliance support to Markets businesses across the region
Assessing and facilitating the Compliance support needs of branches operating in the US conducting Markets business
Supporting, either directly or via members of the team, disciplinary proceedings involving members of staff where required standards of Compliance have not been met
Supporting the management of successful Regulatory relationships
Operates effectively under the pressure of deadlines, constant regulatory oversight, and business unit performance
Strong written, verbal communication, and presentation skills

Americas Head of Regulatory Compliance Markets Regulatory Change Implementation Resume Examples & Samples

Coordinates across the region with line of the business change management teams, Business Risk Control Managers (BRCMs) as well as line of business compliance officers (LCOs) to develops and implement appropriate compliance policies, programs, and controls for area of responsibility
Assist the Head of MRC Americas in setting the standards expected of Compliance in carrying out regulatory change implementation
Participate in industry fora to track and contribute towards the development of new regulation impacting Markets business, in conjunction with LCOs, safeguarding the firm's interests
To maintain a regional book of work concerning material regulatory change implementation initiatives and track to completion (to be linked to a global book of work for the Markets business as a whole)
Provide and/or contribute towards regulatory change training for Business, Compliance and other stakeholder staff as relevant, to ensure regulatory change maps in to the BAU environment effectively
To coordinate with the Global Head of Regulatory Change Implementation, ensuring a globally consistent response to new regulation applicable to Markets businesses operating across countries and regions
Provide line management to 1 Compliance officer supporting this role
Advises business units as they conduct Compliance Detailed Self Assessments (CDSAs) and the development of appropriate mitigating controls/action plans. Assists in completing the Enterprise-wide Risk Assessments (ERAs), as well as any relevant functional risk assessments for respective business unit and Compliance
Develops LCO Compliance team procedures for area of responsibility
Implements the Group compliance policy locally by managing compliance risk in liaison with the Global Head of Compliance, Global Compliance Officer, Area Compliance Officer or LCO, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulators
Escalates any significant compliance issues and trends to business unit senior management, HNAH Compliance management and Group Compliance
Develops and maintains, in conjunction with business line management, processes to monitor and report on the effectiveness of the first and second line of defense against compliance risk at the business unit-level. Provides adequate reporting and MIS regarding Compliance related activities and initiatives relevant to the business and its operation
Ensures vendor oversight is in place and operating effectively for assigned businesses. Provides compliance expertise in reviewing vendor services throughout the life cycle of the vendor relationship, and escalates significant compliance concerns as appropriate
Complete Monthly LCO Reports in accordance with the centralized reporting processes established by MIS Strategy
Completes other responsibilities, as assigned
Balances increasing demands placed upon the business by the introduction of new or revised regulatory requirements
Helps to ensure future business growth is attained in a responsible and conscientious fashion while the operation remains regulatory compliant and commercially sound
Minimum of 15 years proven compliance and/or regulatory experience and 5 years of supervisor/management experience

Regulatory Compliance SME Content Specialist Resume Examples & Samples

Two years proven training delivery & design experience, or equivalent
Knowledge of Regulatory Compliance polices and procedures, as well as knowledge of the constant changing environment
Proficiency with personal computers as well as pertinent mainframe systems and software packages

Regulatory Compliance Advisory Resume Examples & Samples

Assist with the implementation of compliance policies and supervisory controls
Assist in providing timely, accurate and consistent regulatory guidance to business’ program initiatives and identifying compliance/regulatory issues associated with the new business proposals
Conduct compliance training to business personnel
Assist with preparing annual compliance meeting materials and reporting for registered representatives and management oversight committees
Assist with branch reviews
Prepare and maintain reports in excel
Special ad-hoc projects as required

Compliance Officer, Regulatory Compliance Resume Examples & Samples

May service 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. Serves as the central point of contact for US Compliance and oversees the accuracy of the information regarding the regulation in the risk assessment tools while serving as the advocate for consistency for controls
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
Bachelor’s Degree in Finance, Accounting or related field
Financial industry experience preferable

GIM Regulatory Compliance Tech-etl Developer Resume Examples & Samples

Clear focus on managing client assets and delivering strong risk-adjusted returns
More than 650 investment professionals providing over 200 different strategies spanning the full spectrum of asset classes, including equity, fixed income, cash liquidity, currency, real estate, hedge funds and private equity
Leadership positions in America, U.K., Continental Europe, Asia, and Japan
Architect, design and implement and test back-end components of an n-tier application, including data model, data access objects, and application logic
Participate in project planning sessions with project managers, business analysts and team members to analyze business requirements and outline the proposed IT solution
Participate in design reviews and provide input to the design recommendations; incorporate security requirements into design; and provide input to information/data flow, and understand and comply with architectural standards in all phases
Document the detailed application specifications, translate technical requirements into programmed application modules and develop/enhance software application modules
Participate in code reviews and ensure that all solutions are aligned to pre-defined architectural specifications; identify/troubleshoot application code-related issues
Research and prototype new technologies as appropriate
Ensure quality and completeness of the product through unit testing, documentation and maintenance as appropriate
5-8 years of experience in Application Development using Informatica
5-7 years of experience in writing SQLs (Proficiency in Stored Procedures, Triggers, Batch processing and Performance tuning is a must)
Minimum 5 years experience with Control-M
Experience with working in data-warehousing/data-marts is a must
Experience with Unix Shell Scripting is a must
Strong technical, analytical, problem solving, and communication skills
Experience with system, application, and process documentation including tools such as MS-Visio, etc
Excellent verbal, written, interpersonal, organizational and time management skills
Experience with SVN Source Code management techniques/ tools for software management, Knowledge SDLC tools (JIRA)
Demonstrated teamwork and ability to work with diversified multi-location team
Experience with working on Agile/Scrum method of product implementation and delivery
Experience in Investment Management Technology applications preferred

Analyst Regulatory Compliance Conduct Compliance Privacy Resume Examples & Samples

The jobholder will have direct control over project deliverables within the usual authority limits for a GCB 5 and may be required to work independently, as part of a team, or provide guidance to less experienced analysts
Jobholder may be required to manage multiple projects involving interaction with several business areas
Jobholder will be expected to adopt a flexible approach in terms of working hours and travel to other locations
Undergraduate degree in Business Administration, or equivalent business and/or technical experience in a related field
Experience in Privacy, Operational Risk, Compliance at a financial services privacy function
Prior experience managing Enterprise Risk Management systems a plus
RSA Archer training a plus
IAPP Certification a plus
Ability to work independently and manage multiple technical and/or non-technical projects
Have knowledge of project lifecycle and methodologies
General knowledge of US privacy regulations and knowledge of non-US privacy regulations are a plus
Confidence working with staff that includes the highest levels of management
Ability to develop cohesive working relationships with business partners
Excellent facilitation and leadership skills
Excellent analytical, interpersonal, presentation, written & verbal communication skills

VP Director Regulatory Compliance Resume Examples & Samples

Interacts and fosters relationships with applicable regulators
Develops external contacts, as appropriate, among industry peer groups to determine/validate the Company is aligned with industry best practice
Monitors, in coordination with the line of business LCOs, the status of any related material compliance issues identified and reported by Compliance Testing and Control (CTAC),
Compliance Inspection Unit (CIU), BRCMs, regulators or Internal Audit and provides updates to business unit management as necessary
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
Minimum of a Bachelor’s degree in business, related field or equivalent experience; Master’s degree and/or Juris Doctorate (JD) preferred

Americas Head of Regulatory Change for GBM Regulatory Compliance Resume Examples & Samples

Provide expertise, guidance, oversight and governance in support of strategic initiatives and management of compliance risk, predominantly in relation to new regulatory requirements effecting all GBM businesses lines
Coordinates across the Americas region with line of the business regulatory change implementation teams, Business Risk Control Managers (BRCMs) as well as line of business compliance officers (LCOs) to develops and implement appropriate compliance policies, programs, and controls for area of responsibility
Provide more dedicated support to complex transformational change initiatives, in harmony with line of business compliance, for example EMIR and Volcker
Assist the Americas Head of GBM Regulatory Compliance in setting the standards expected of Compliance in carrying out regulatory change implementation
Coordinate with regulatory change management teams in GBM RC EMEA, GBM RC Asia and HNAH to ensure a globally consistent response to new regulation applicable to all business lines operating across countries and regions
Participate in industry fora to track and contribute towards the development of new regulations impacting all GBM business areas, in conjunction with LCOs, to safeguard the firm's interests and reputation
To maintain a regional book of work concerning material regulatory change implementation initiatives and track to completion
Provide and/or contribute towards regulatory change training for Business, Compliance and other stakeholder staff as relevant, to ensure regulatory change maps in to the BAU environment effectively; and
Minimum of 15 years proven compliance and/or regulatory experience and 5+ years of supervisor/management experience
Bachelor of Arts or Science and Juris Doctor degree

AVP Regulatory Compliance Rbwm Amca Resume Examples & Samples

AMCA is an entity of the Retail Banking and Wealth Management Business “RBWM”. This role needs to lead without authority and be able to collaborate with multi stakeholders and deliver results. The role holder must be able to influence senior management and articulate clear business reasons for change initiatives. The jobholder will maintain close interaction with multiple Compliance Teams as well as Senior Management within AMCA
Bachelor’s degree. Chartered Financial Analyst &/or Master’s Degree would be considered an asset
10 to 15 years in the securities industry with asset management experience. Proven and progressive financial services operations, compliance or legal experience or equivalent
Full understanding of all significant regulatory compliance requirements, laws and regulations applicable to Portfolio Managers, Investment Fund Managers and Exempt Market Dealers
Proficiencies for immediate registration as the Chief Compliance Officer for AMCA under Canadian regulatory requirements
Very wide scope of knowledge of asset management industry, including products, operations, systems and organization
Excellent communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business

Cib-equities Regulatory & Compliance Resume Examples & Samples

Flow Sales and Trading (Front Office Sales and Trading Order Management systems and Reporting)
Compliance Technology
Required Skills & Qualification
Years of experience : #10-14 years
Schooling Experience : Bachelor's degree in computer science or related discipline

Compliance Officer Swaps Regulatory Compliance Resume Examples & Samples

2-5 years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm
Working understanding of Title VII of the Dodd-Frank Act as it pertains to the obligations of Swap Dealers and Security-based Swap Dealers
Familiarity with trading deal capture systems
Securities and/or futures licenses
Experience in an investment banking environment

Regulatory Compliance Business Manager Resume Examples & Samples

Assistant Vice President , Head of Enterprise Wide Regulatory Compliance (RC) will provide supervisory guidance
Bachelor’s degree in Law, Business, Accounting, or related field
Minimum of seven years proven and progressive financial services, legal or compliance experience, or equivalent
Proficiency in laws, regulations and regulatory compliance requirements related to enterprise wide regulatory compliance
Proven interpersonal, organizational, communication, negotiation, analytical and project management skills
Strong knowledge of regulatory compliance, products, operations and systems combined with in-depth understanding of and experience with compliance risks and controls assessments
High level of proficiency with Microsoft Office applications

Director, Regulatory Compliance Management Resume Examples & Samples

Document findings and ability to assess general impact on potential consequences of recommendations
Recommends/leads special audits/projects
Makes recommendations to clients re control deficiencies and follows up to ensure significant deficiencies are corrected
Oversees the development of audit reports
Supports GRM, Compliance
Within approved financial plan and as outlined in Delegation of Authorities
Recommends new hires/promotions PL7 to PL 8

Payment Services Regulatory Compliance Audit Manager Resume Examples & Samples

Executes completion of the Audit Plan, measured by planned monthly report issuance, to within 95% of the Audit Committee approved plan
Completes all audit planning activities in accordance with CAS Policies and Procedures (based primarily on IIA Standards and Regulatory Heightened Expectations) including client communications
Acts as the primary client contact throughout the audit process
Supervises and trains the assigned audit team during their completion of the Risk & Control Design Assessments and Control Performance Effectiveness work. This includes reviewing and approving sampling rationale and test design
Completes detailed workpaper reviews to assure work is completed and documented in accordance with CAS Policies and Procedures
Completes the summarization phase of assigned audits
Identifies issues that warrant issuance of Alerts to management and writes the Alert narratives
Provides responses to issues identified in connection with the CAS Quality Assurance Review (QAR) and resolves QAR issues as necessary
Responsible for personnel management of the assigned team in accordance with Human Resource Policies including performance evaluations, career development, training, and recruiting. The department standard is to keep unplanned turnover to 15% or less
Manages chargeable hours of the assigned team to a minimum of 80% (1700 hours annualized)
Performs other duties as requested by the Audit Director
Bachelor’s degree in accounting or relevant area of study,
A combination of at least seven years progressive experience in any of the following: public accounting, federal regulator, financial institutions internal audit, and/or regulatory consulting
Both card issuance and merchant acquiring experience a plus
Experience auditing significant compliance rules related to the Payment Services industry or establishing second line of defense policy and procedures related to significant Payment Services regulations or key regulatory heightened expectations
Professional Certification as a CIA, CRCM, and/or CAMS
Knowledge in auditing, reporting and analysis
Well-developed ability to identify and resolve exceptions and to analyze data
Thorough knowledge of appropriate regulations, and expertise in interpreting and communicating complex federal regulations to personnel corporate-wide
Strong leadership, team building, analytical and organizational skills

Senior Analyst Regulatory & Compliance Reporting Resume Examples & Samples

Leads end-to-end process and methods supporting all areas of business intelligence and data warehouse delivery to increase quality including process compliance and data controllership capabilities
Works closely with customers to capture, analyze and document business and functional requirements
Facilitates business intelligence team(s) through identifying and implementing process improvements
Manages entire projects through analysis, design, and build, across cross functional resource teams
Work with team to manage and prioritize development projects and enhancement and maintenance requests
Enforces adherence to processes and mentor team members to grow into new roles and responsibilities
Directs the project development process including planning and monitoring development efforts, reviewing deliverables and communicating status to both management and customers
Designs and implement metric analysis and reporting to identify process improvement opportunities
Bachelor's Degree (or equivalent work experience) with minimum 7 years of IT experience Eligibility Requirements
Must be 18 years or older
Must be willing to work out of an office in Van Buren Township, MI
Demonstrated ability to multitask across multiple projects and teams
Demonstrated experience leading teams and using project management methodology
Demonstrated experience driving compliance, process and standardization
Experience in project management methodology (PMM)
Financial services domain expertise in Banking regulation (i.e. Basel III, Dodd-Frank, SR-1107) & Risk/Finance
Extremely strong communication skills with the ability to influence across complex matrixed organizations
Awareness of traditional and emerging data management concepts/methodologies
Experience within financial services / regulated banking entities
Experience with SOX and Compliance reporting and documentation

GIM Regulatory Compliance Tech-java Resume Examples & Samples

Architect, design and implement and test back-end components of an n-tier application, including data model, data access objects, and application logic
Minimum 5 years of experience in Enterprise Application Development using Java/JavaScript, J2EE, EJB, XML, Web Services/SOA and HTML
Experience with system, application, and process documentation including tools such as MS-Visio, etc

Bank Regulatory Compliance Resume Examples & Samples

Knowledge of, and experience working with, federal banking regulations, such as BSA, Truth in Lending, RESPA and Equal Credit Opportunity
Minimum 5+ years of experience working with banking regulations
Strong analytical, interpersonal and organizational skills a must
Ability to travel regionally to serve financial institution clients

Bank Regulatory Compliance Consultant Resume Examples & Samples

Evaluate banking clients for compliance with laws and regulations
Minimum 2+ years of experience working with banking regulations
Proficiency with Microsoft applications (Word, Excel and PowerPoint)

Regulatory Compliance Leader Resume Examples & Samples

Have strong Legal / Compliance / Policy skills and qualifications
Have the ability to engage confidently with regulators
Be able to lead, mentor and manage a small team
Ideally have strong Financial Services regulatory knowledge
Have the ability to work under pressure and meet key deadlines

Cib-equities Regulatory & Compliance Resume Examples & Samples

Partner with the Compliance and Regulatory leads to fully understand the requirements of new compliance initiatives as well as changes to existing rules
Document business requirements, specifications and business processes and participate in translation of them into technical specifications
Document detailed use cases for each phase of the project. Conduct review sessions with technology and project teams to ensure that all scenarios are understood and supported
Partner with Operations users to ensure that the requirements from front office, middle office and back office are reviewed and validated and detailed functional requirements are documented
Strong Business analysis skills in finance industry
Strong organizational skills to track and communicate progress and issues
10-14 years of experience in a BA/PM role

Cib-equities Regulatory & Compliance Resume Examples & Samples

Masters or Bachelors in Computer Science with solid track record and experience in building large scale data warehouses and production platforms handing critical data
Active hands on experience in building Big Data warehouse using Hadoop, Hive and HBase platforms
Experience with query processing and tuning report from Hive
Experience with ETL and processing real-time data on Hadoop platform
Data management, archival, reporting and analytics experience
Strong in Object Oriented Development and Java platform
Excellent communication skills are a must for this position
Strong CS fundamentals, data structures, algorithms with good understanding of Object-Oriented Design Principles, architecture and prevalent design patterns
Experience with caches, multi-threaded design principles, concurrency is a plus
Experience with Agile Scrum process, test driven development and continuous integration (Jenkins) is a big plus

Regulatory Compliance Risk Advisor Resume Examples & Samples

Work closely with operations leadership to provide risk assessment of the current and proposed business activities such as marketing, advertising, and benefit development
Facilitate internal regulatory compliance audits
Possess the ability to manage multiple priorities and work under pressure to meet deadlines
Ability to work independently to define and prioritize deadlines and seek help when necessary
Ability to quickly develop strong professional working relationships internally and externally
Strong attention to detail and accuracy
Legal training (i.e., paralegal or law school)
Knowledge of the healthcare insurance industry
Working knowledge of Part C/Medicare Advantage program is a plus
Experience interacting with governmental agencies

Investment Adviser Regulatory Compliance Counsel Resume Examples & Samples

Experience with investment advisor regulatory compliance, including the Investment Advisers Act of 1940
Proactive approach in identifying and correcting existing or potential problem areas
Proven ability to develop and maintain client relationships
Member of New Jersey bar
Intuitive comfort within a technology-driven environment and strong computer skills
A willingness and strong desire to do what needs to be done to meet the needs and expectations of clients and colleagues
Awareness of broker-dealer and/or hedge fund regulation

Technical Regulatory Compliance Engineer Resume Examples & Samples

Accredited engineering degree (BS) in mechanical engineering, industry engineering and manufacturing engineering
10 or more years of engineering experiences with engine products including the engine performance, the design and validations and the applications
A minimum five years hands-on working experiences with MCS like American Bureau of Shipping or Net Norske Veritas- Germanischer Lioyd or etc
Working knowledge of the manufacturing processes including casting, forging and machining of the key engine components, the engine assembly and typical applications of the engine / engine products
Familiar with the engine product requirements (performance, reliability and durability) and the new product development processes
Strong ownership of the engine compliance process and customer focus. Commitment to the customer satisfaction
Good English skills in both written and oral. Good project management skills and capability
Excellent inter-personal skills and self-motivated with strong learning desire and high working standards
Ability to communicate technical information effectively with team members, product group engineers and managers as well as external business partners
MS degree or equivalent majoring in internal combustion engines
Excellent communication skills and project management experience
Working knowledge of medium speed engine applications
Germany speaking

VP, Regulatory Compliance Resume Examples & Samples

Developing systems and procedures to ensure regulatory compliance with SEC requirements, including the Investment Advisers Act of 1940, and those of other U.S. regulatory agencies and self-regulatory organizations such as the CFTC and NFA
Managing the filing of Form ADV and other disclosure documents and ensuring that such filings and disclosure documents reflect accurate data and Oaktree policies and conflicts of interest
Keeping abreast of changes within the firm and analyzing the impact of such changes on required filings and disclosure documents
Liaising with other departments, investment professionals and regulatory agencies to identify issues and provide guidance/recommendation on compliance matters
Keeping abreast of changes in regulatory requirements in the U.S and addressing the impact on Oaktree’s operations
Maintaining the process of updating and revising the compliance manual when regulatory requirements change and policies and procedures are amended and enhanced
Providing training to relevant staff members on regulatory compliance topics and assisting with the creation of firm-wide on-line courses
Performing various other tasks and projects as necessary
Strong initiative and a self-starter with a proven ability to work with minimal supervision
Bachelor's Degree is required. JD a plus
6-7 years relevant experience within the financial services industry, some exposure to investment advisor compliance practices is required
Strong knowledge of fixed income products and financial markets in general
Excellent understanding of compliance issues in the financial services industry

VP Director Regulatory Compliance Pb-fiduciary Resume Examples & Samples

Serves as a trusted business partner and advisor to Senior Management ensuring all regulatory/changes are followed
Minimum of a Bachelor’s degree in business, related field or equivalent experience; Master’s degree or Juris Doctorate (JD) preferred
Strong knowledge of assigned businesses, products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to the business. Proven ability to accomplish high-level objectives in the context of annual business and compliance plans

Regulatory Compliance & Anti Money Laundering Senior Manager Resume Examples & Samples

Lead AML engagements, which involve looking at a financial institution’s processes and advising on solutions around creating efficient process or improving existing processes
Manage the financial aspects of engagements by organizing staffing, tracking fees and communicating issues to project leaders
Advise clients on a variety of regulatory advisory and anti-money laundering services that help meet bank holding company and banking compliance requirements
Research emerging trends in regulatory guidance and anti-money laundering and best practices
Critically analyze policies, procedures, people, processes, and systems used by financial institutions to meet bank regulatory requirements and expectations
Design and implement quality, practical business approaches
Manage project delivery, including supervision of staff and preparation of high quality project reports
Participate in business development activities
Keep abreast of current industry and economic developments relevant to the client's business
Demonstrate high levels of technical and professional knowledge
A bachelor's degree and approximately 8+ years of related work experience; or a graduate degree
A degree (MBA or M.A. preferred)
Knowledge of anti-money laundering processes and reviews along with regulatory reporting and/or regulatory reporting software packages
Strong written and verbal communication skills for report writing and client presentations
Prior experience in consulting preferred
CAMS designation would be an asset

VP Director Regulatory Compliance Pb Fiduciary Resume Examples & Samples

Manages assigned specialized compliance functions for PB’s Fiduciary Activities
Minimum of 10 years proven and progressive financial services operations, compliance, and/or legal management experience or equivalent
Proficiency with personal computers, pertinent mainframe systems, and software packages

Regulatory Compliance Products Manager Resume Examples & Samples

Implementing best in practice standards, policies and procedures to govern regulatory compliance
Providing compliance advice on all aspects of regulatory compliance (Conduct of Business and Market Conduct)
Liaising with relevant stakeholders to provide expertise and support on all regulatory compliance related matters
Assisting with the implementation of programmes to address, manage and mitigate impacts of regulatory changes
Ensuring that consequences arising from regulatory compliance and reputational issues are properly managed, mitigated and reported
Reviewing and assisting in the effective deployment of the regulatory compliance assurance function
Assisting in the development and implementation of training programs for regulatory compliance globally
Practical experience of policy implementation and change activity
Advisory experience
Significant knowledge of Regulatory Compliance risks
Private Banking or Retail experience is desirable

Regulatory & Compliance Professional Resume Examples & Samples

Must be able to satisfy the requirements of Section 19 of the Federal Deposit Insurance Act
In order to be considered for this role, you must submit your application through www.gecareers.com
In order to be considered for this role in the United States, legal authorization to work in the United States is required. GE will not sponsor individuals for employment visas, now or in future, for this job opening
In order to be considered for this role, you must be willing to comply with pre-employment screening, including but not limited to drug testing, reference verification, and background check
In order to be considered for this role, you must be willing to travel occasionally
Previous experience in financial services/banking
Previous experience in commercial lending/leasing or investment businesses
Demonstrated knowledge/experience of compliance/regulatory issues in one or more relevant jurisdictions
Experience performing financial statement analysis, interpreting financial performance, financial modeling, valuations, assessing risk exposure, and portfolio management of (strategic) customer accounts
Knowledge of various finance products and structures including: loans, leases, partnerships, and equity investments
Strong interpersonal, communication (both written and verbal), and presentation skills
Ability to interact and influence at all levels and across functions within a matrix organization
Ability to effectively manage multiple tasks simultaneously
Committed and flexible team player
Self-starter with strong sense of urgency and detail

Regulatory Compliance Consultants Financial Services Risk Management Resume Examples & Samples

Provide a valued and substantial contribution to risk management engagements at banks, credit institutions and insurance companies
Work effectively as a team member sharing responsibility, providing support and maintaining communication
Contribute in solution and proposal development

Regulatory & Compliance Business Analyst Associate Resume Examples & Samples

Work closely with Sales and trading technology team to ensure that compliance functional requirements are understood and delivered
Assist in the creation of user training presentations. Provide status update to key stakeholders within business and technology
Ability to produce detailed functional specifications, use cases
Quick learner and be able to multi-task across multiple initiatives
Proactive independent thinker
Knowledge of FIX protocol is highly desirable
Knowledge in SQL is desirable but not mandatory
4-10 years of experience in a BA/PM role
Previous experience in equity compliance BA role is desirable

Regulatory Compliance Registrations Analyst Resume Examples & Samples

With input from Business compliance / management determine which individuals will require registration with the UK FCA
Agree with Markets Compliance who will require registration with one or more of the UK or European stock exchanges
Manage FCA registrations process across all businesses
Maintain information in registrations database
Produce registration information reports
Assist in monitoring requirements for European wide exchange registrations
Administration/filing of related paperwork
Experience in office administration beneficial
Experience of working in a detail sensitive, pressurised, large service orientated organisational environment beneficial
Knowledge of Excel/other spreadsheet packages essential together with Word and Windows
The candidate must be able communicate clearly both oral and written
Teamwork is critical to the group and any candidate will need to display aptitude in this area
Willingness to learn new software systems

Senior Analyst, Regulatory & Compliance Risk Resume Examples & Samples

Bachelor's Degree in Business, Finance or related field. Master's Degree a plus
Minimum 5 years related experience working in Broker Dealer Operations and/or Compliance
Series 7, 99, 63, 65, 66, 9, 10 licenses desired
Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems
Some travel by car and/or air in conjunction with local, regional and/or national travel, up to 20%

Head Regulatory Compliance Global Banking & Markets Resume Examples & Samples

Works with the RMA and the HSI Regulatory Update Committee to keep abreast of legislative changes in the US and assess and advise on their impact on the Compliance function and the Global Banking businesses
Strong background in bank and brokerage compliance within a financial services environment
Ability to understand, interpret and apply complex regulatory requirements to business practices
15+ years Compliance experience
5+ years of supervisor/management experience
Series 79 and 24 preferred

Senior Advisor Regulatory Compliance Regulatory Development Resume Examples & Samples

This role also needs to lead without authority and able to collaborate with multi stakeholders and deliver results. The role holder must be able to influence senior management and regulators by articulating clear business reasons for change initiatives
Bachelor’s degree in business, law, or related field or equivalent experience. LL.B or legal experience not required but considered an asset
Five to seven years proven and progressive financial services, compliance and/or legal experience or equivalent
Specialized knowledge of legislative compliance management programs as contemplated by OSFI Guideline E-13, legislation and regulatory directives relating to conduct, control of information, privacy, securities, financial crime relating as they apply to financial groups and extra-territorial laws applicable to Canadian financial groups such as Dodd Frank
Wide scope of knowledge and ability to review and understand complex regulatory regimes impacting a complex global financial group
Highly developed communications, negotiating, analytical, decision-making, organizational and planning skills
Wide scope of knowledge of financial institutions, including products, operations, systems and organization
Good understanding of all significant regulatory regimes applicable to Canadian financial institutions, a global financial group, and pertinent Group policies and external regulations
Knowledge & Experience / Qualifications (For the role – not the role holder. Minimum requirements of the role.)

Head of Regulatory Compliance Monitoring & Testing Resume Examples & Samples

The jobholder will be required to lead and manage a team of compliance monitoring and testing specialists covering all business lines. In order to meet regulatory expectations and to provide Senior Management with up to date information regarding standards of compliance with applicable rules, a key objective of the role, will be to ensure the annual compliance monitoring plan is delivered on time
Proven ability in leading a large team and strong people management
Excellent communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business
Ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings
Highly motivated self-starter with proven ability to work collaboratively within teams and to deliver on time

Regulatory Compliance Associate Resume Examples & Samples

Handle the receipt, response, and follow-up for regulatory inquiries associated with RBCCM
Field verbal and written inquiries from various regulatory agencies. This may also include investigations or exams initiated by regulatory agencies
Coordinate and/or conduct due diligence in connection with regulatory inquiries
Work closely with relevant subject matter experts and stakeholders throughout RBCCM to draft and prepare responses
Escalate and notify business units regarding findings and/or corrective actions required, as appropriate
Ensure proper and complete maintenance of books and records pertaining to RBCCM inquiries
Assess and report trends associated with inquiries and areas targeted by regulatory bodies to management
Identify, escalate and assist with summarizing regulatory issues for inclusion into enterprise reporting
Participate in regulatory audits
Special projects as assigned
Extensive and comprehensive regulatory knowledge and expertise (5+ year minimum)
Ability to interact with regulators
In-depth knowledge of broker dealer rules and regulations

Equities Regulatory & Compliance Resume Examples & Samples

Electronic Trading (Execution core components, Exchange Connectivity, Client on-boarding, DMA, Smart Order Routing - SoR, Algorithmic Trading, Data Analytics etc )
Risk Management and Structured products
Middle office Trade Booking and Regulatory
Masters or Bachelors in Computer Science with three to five years experience
Strong in Object Oriented Development and Java platform including experience with various developer productivity tools, debugging memory leaks and knowledge in latest enhancements in the platform
Experience with caches, multi-threaded design principles and concurrency
Experience with JMS and messaging infrastructures
Strong in database including writing complex SQL queries, PL/SQL programming, optimizing response time of queries and generating a wide range of reports
Strong 2+ years hands-on current experience in Java is a must for this role
Experience with Unix/Linux and shell scripting

Regulatory Compliance Advisor Resume Examples & Samples

Providing day-to-day advisory support to Operations & Technology regarding the firm's policies and regulations including
Triaging workflow emails/calls
Ad hoc requests
Assisting in performing a trending analysis of incident data impacting regulatory reporting functions
Assisting in designing a compliance dashboard (contributing towards Compliance Monitoring Program risk assessment)
EMEA complaints logging
Collating clearing Rule Books
Assisting in client money reviews
EMIR registration and de-registration process
Assisting in writing policies to reflect regulatory developments, such as EMIR and MIFID
Previous regulatory advisory experience - Investment Banking experience is advantageous
Good knowledge of regulations including; EMIR and MIFID
Ability to communicate effectively with SMES and other senior stakeholders

Senior Manager Conduct Risk & Regulatory Compliance Resume Examples & Samples

To execute day-to-day control and monitoring related activities (focusing on Operational Risk, Compliance and Conduct)
Direct activity in the Business Unit to establish a suitable Product Governance framework and proactive risk aware culture
Support and advise the Products & Marketing Business Unit in ensuring that products are designed and priced appropriately and deliver consistently fair customer outcomes
Support the Annual Product Reviews to ensure that products remain fit for purpose and continue to deliver appropriate outcomes throughout the product lifecycle
Support and advise the Products & Marketing BU in ensuring that sales processes are designed in a way that consistently delivers fair customer outcomes
Ensure that the Products & Marketing Business Units comply with all relevant regulatory and legislative requirements relating to product design, sales processes and financial promotions), and to ensure that the impact of regulatory and legislative change on the business is fully considered
Undertaking and Supervising Remedial Action Plans / Issue Management
Ensure that any Conduct Risk control weaknesses and any legislative and/or regulatory breaches relating to product design, pricing, sales process and/or financial promotions are appropriately and promptly addressed
Build strong productive relationships at all levels across the Business Unit, with partner business units and with Risk and Audit functions

Team Lead-account Taxes & Regulatory Compliance Resume Examples & Samples

5 to 7 years of related experience
Solid knowledge of standard desktop applications used by the business unit
Solid knowledge and understanding of the business unit’s key products and services, processes and controls
Solid understanding of the business unit’s risk and regulatory requirements
Solid understanding of internal business partner’s business, services and organization
Solid knowledge of resource scheduling
Strong investigation skills
Strong prioritization skills
Strong customer service and relationship management skills
Strong coaching, mentoring and training skills
Strong conflict management/ resolution skills
Strong change leadership skills

Director Compliance Regulatory Compliance Management Resume Examples & Samples

He/she is an active member of the management team and will provide counsel and direction on strategic decisions relating to the RCM program. This role requires active and ongoing relationship management within the business line with key stakeholders
Lead engagements with Scotiabank’s Business/Global Compliance Units and other internal/external RCM Stakeholders to identify industry best practices, capture Scotiabank-specific requirements, define enterprise standards and create common RCM processes
Develop and implement RCM Program functionalities that will
Define monitoring and testing requirements including risk-based criteria and documentation standards; and
Identify and track regulatory compliance issues through remediation/action plans and archive resolution details
Design and deploy concise, near real time, reader-friendly reports that support the operational needs of Scotiabank’s Business/Compliance Units as well as the strategic needs of Scotiabank’s Senior Executive and Board of Directors
Develop the training model, delivery system and educational material to provide current and comprehensive information about Scotiabank’s RCM Program and the enterprise standards/processes that support the RCM technology-based RCM. Training will be deployed to all new users. Training will also update existing users in relation to new functionalities and enhancements
Manage multidisciplinary sub-projects through planning, solution development and global implementation
Maintain the integrity and consistency of the standardized taxonomies, libraries and analytical frameworks upon which the RCM system relies for the effective collection, aggregation and reporting of compliance information
Develop and execute the quality assurance mandate to ensure Scotiabank’s continuing compliance with OSFI’s RCM Program obligations and with changing regulatory obligations in all the jurisdictions in which Scotiabank operates
A minimum of ten years’ progressive financial industry, professional services or legal experience in compliance, audit, risk, operations, shared services or a related field
Sufficient familiarity with technology to recognize opportunities to enhance processes or achieve operational efficiencies
Operate independently on a day-to-day basis. Direction is often received only at the most conceptual level
Superior communication and presentation skills

AVP Financial Crime Compliance & Regulatory Compliance Resume Examples & Samples

This position is found in the following compliance function(s)
Ensures compliance for assigned line of business and directs the work of assigned Compliance staff. Makes high level compliance decisions affecting areas of responsibility
Experience in developing and implementing compliance policies, programs, and procedures

Regulatory Compliance Resume Examples & Samples

This is a new role in a recently formed team, so the role holder must be able to work comfortably within a fluid and developing framework
The role holder is expected to work openly and collaboratively with their line management and team colleagues. The role holder will interact with key stakeholder teams (internal and external to RC) at group level
The role holder must be able to drive through solutions to successful conclusion and to ensure that risks are being properly managed
The role holder will be subject to sensitive information and must exercise sound judgement in protecting it and must adhere to all relevant rules and regulations
Regulatory Compliance and Operational Risk management covering a wider range of business areas
Current regulatory risk management and appetite methodologies and trends
Successful implementation of change across mulitple teams and locations
Process analysis and proble-solving
The changing regulatory environment and expectations, interpretation of FCA and other significant regulators' rules and guidance together with other relevant regulations, codes and companies Group Standards
Proven written and verbal communication skills and attention to detail
Ability to develop subject matter expertise in complex areas
Good organisational skills ideally with project management experience
The ability to quickly identify solutions to complex problems
Strong team player with leadership potential
Highly motivated, robust and accountable

SVP HR Regulatory Compliance Liaison Resume Examples & Samples

Regular interactions with U.S. regulators and Senior Executive Management
The amount of supervision required for this position will vary, as the position is somewhat autonomous. The incumbent is expected to work within overall guidelines and time frames making deadlines set forth
Travel required as appropriate
This position requires an individual with
Minimum of a Bachelor’s degree in human resources, management, finance, economics, related field or equivalent experience; Master’s Degree preferred
Extreme attention to detail, accuracy, organization and follow-up as well as delivery of commitments and deadlines
Working knowledge of business/function supported as well as pertinent operational risk policies and regulations
Exposure to an operations and a control environment, such as audit or compliance or compliance area
Strong communications, human relations, diplomatic, organizational, problem-solving, planning, project management, analytical, lateral thinking and financial planning skills
In-depth knowledge of the organization, culture and strategic direction, including related Group programs
Absolute commitment to confidentiality; passion for data integrity and accuracy in all matters
Proficiency with personal computers as well as pertinent mainframe systems and software packages

CIB AVP / Officer, Regulatory Compliance Resume Examples & Samples

1-3+ years of regulatory compliance experience
Prior experience in a U.S. office of a foreign bank would be welcomed
Prior experience at a U.S. holding company level or at a U.S. broker-dealer or investment advisor subsidiary of a foreign bank would also be welcomed
Detail-oriented and thorough
Strong interpersonal and communications skills required
Microsoft Office required

Regulatory Compliance & Assurance Subject Matter Expert Resume Examples & Samples

Assistance in preparing reports to internal stakeholders and governance forums
Providing guidance and advise to internal stakeholders on external auditor approach, requests and results of testing, including any issues reported and identification of compensating measures
Ownership of receiving, logging and tracking evidence and other requests from external auditors
Coordinating the collection of audit evidence within required timeframes and ensuring that security of information requirements are adhered; and
Assisting with other regulatory notices and remediation demands
Previous audit experience Financial Services is essential
Experience of working on a large scale regulatory remediation engagement is an advantage
Strong organizational and communication skills is essential
Ability to work on own initiative and manage deliverables across multiple teams under aggressive time frames; and
Knowledge of regulatory conduct and IB requirements is advantageous

Regulatory Compliance Business Integration Manager Resume Examples & Samples

Ensure compliance risk controls are established and effectively deployed in accordance with HSBC and regulatory standards and policies in order to optimize our relations with our regulators and minimize our operational losses
Facilitate the identification, communication, and implementation of key initiatives against strategic compliance sponsored programs across the global functions and global lines of business, in accordance with Global Risk strategy
Assist RCOs and RC leadership with the implementation of business and strategic planning exercises
Assist in RC leadership in balancing the risk management and investment requirements against strategic and financial objectives
Assist RCOs in the assessment of compliance risks and the operating effectiveness of key controls acceptable to the scale and nature of HSBC's operations
Coordinating, collating, and evaluating critical MI and production/performance metrics
Driving the US RC program toward achieving Target Operating Models and any associated maintenance and updating of core models
Assist management in delivering against annual AOP objectives
Some knowledge in relationship to Regulatory Compliance activities and Risk Management concepts and design
Experience in project planning, project management and/or business analytics
Knowledge in quality assurance and basic documentation standards within a risk management context
Basic awareness and understanding of internal controls and operational risk
Demonstrated ability in delivering performance and/or process improvements, successfully applying innovative thinking
Strategic vision
Excellent collaboration skills - ability to effectively work across multiple stakeholder groups within an organization
Strong leadership and motivational skills
Good business and commercial awareness
Proactive and resilient in a dynamic and constantly changing work environment

AVP Regulatory Compliance Management Testing & Control Resume Examples & Samples

The job holder is expected to lead the development and management of assurance activities to ensure the Bank complies with OSFI’s E-13 guidelines with minimal guidance. When unsure, guidance would be sought from Canada Head of RC Risk & Strategy
The jobholder is expected to act pro-actively and generate ideas for enhancements to the team's activities
The individual should have the ability to quickly assess information through analysis and knowledge of business structure as well as showing leadership in an unstructured environment and keeping up-to-date with changes in the HSBC Group

Head of Regulatory Compliance Risk & Strategy Resume Examples & Samples

Management of External and Internal Reporting Regimes
Leadership and Oversight of RC Strategic Annual Plan and Quarterly Update Execution for Canada– to include top risk priorities, resourcing, staffing, budget
Holistic oversight and management of all RC external exams and internal audits
Ensure appropriate RC Governance and connectivity of all RC functions, including shared services activities
Develop and drive the implementation and imbedding of the RCM Enterprise-Wide Framework, E-13 Testing & Control, and Risk Strategy teams and support the Head of RC in Canada in implementing Group Regulatory Compliance Strategy
Oversee implementation of RC policies
Oversee Executive Reporting and accurate delivery of KPI’s and KRI’s produced by the shared services MI and DG team
The job holder is expected to make decisions independently and interact with key external and internal stakeholders at a very senior level, regularly stepping up to the role of the Head of RC or acting in his/her capacity
10 plus years of Regulatory Compliance experience in relevant industries, with strong background in Risk & Strategy management and oversight

AVP Regulatory Compliance Resume Examples & Samples

Minimum of 8 years of proven and progressive Retail Banking and/or Wealth Management experience, compliance and/or legal management experience
Minimum of a Bachelor degree in business, Master’s degree and/or Juris Doctorate (JD) preferred
Wide scope of knowledge of RBWM businesses, including products, operations, systems and organization contributing to the ability to develop practical, cost effective solutions to complex issues
Full understanding of all significant regulatory compliance requirements applicable to RBWM businesses (Bank Act, Securities Commissions regulations as well as SROs rules)
Experience in dealing with regulatory matters and confident interaction with Regulators
Experience in developing and implementing compliance policies, programs, and procedures, paired with experience in dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business
Well-developed managerial, communications, negotiations, analytical, organizational, project management and strategic and/or operational planning skills
Must be an effective overall leader with excellent communications skills, a professional management style, and a track record of leading through change
Ability to lead change in RBWM Canada contributing to joining up with the other teams in Risk and Business globally
Ability to "connect the dots" and critically analyze situations, recommend effective solutions to problems and identify or anticipate regulatory concerns
Demonstrates ownership of topics and actively protects HSBC's reputation

Regulatory Compliance Coordinator Resume Examples & Samples

Resolve pending issues delaying Customs Clearance of cargo
Up keep of C-TPAT program and continued training of UA employees and supply chain
2+ years of related experience (preferably in apparel/footwear business)
Familiarity with international shipping and manufacturing processes
Ability to communicate with individuals at all levels of the organization
Knowledge of a variety of software programs (specifically MS Office)

Senior Regulatory Compliance Associate Resume Examples & Samples

4-6 years of Buy Side experience
Highly organized, detail-oriented and analytical
Strong understanding of the investment management industry
Solid understanding of US and international securities laws applicable to private funds, including the Investment Advisers Act of 1940, the Commodity Exchange Act, the Investment Company Act of 1940 and ERISA

Risk Governance Regulatory Compliance Market Risk VP Resume Examples & Samples

Identifying and interpreting new regulation including ensuring alignment with the Firm’s risk management framework
Coordinating Firm’s responses to Consultation Papers and evolving new regulation
Advisory role across risk management
Business knowledge of capital markets (sales and trading)
Prior experience in risk management or internal audit within a wholesale financial services environment
Experience with IMA regulatory applications/submissions
Strong organization skills with the ability to multitask and prioritise; ability to tight deadlines

Risk Governance Regulatory Compliance Associate Resume Examples & Samples

Developing a compliance framework for regulatory rules
Independent Validation – independently validating self-assessment of regulatory rules applicable to risk management and implementation of new rules
Excellent understanding of banking regulation, especially relating to risk management
Ability to work in a small team environment, building and maintain a network of contacts and coordinating with a large number of internal clients

Manager Financial Crime Compliance & Regulatory Compliance Resume Examples & Samples

Global Service Centres
Customer Service Centres
Complaints
IT / technology

PWM Regulatory Compliance Resume Examples & Samples

Be responsible for in developing the framework for distribution of products to the clients
Liaise with other stakeholders, i.e. Legal and Compliance functions on regulatory and client issues
Have at least 5 years of relevant experience in a similar function
Have good experience and knowledge of the private banking products and operational flow of products

Head of Regulatory Compliance Conduct Risk Resume Examples & Samples

The jobholder is required to work with considerable autonomy, dealing with major issues for which there is no clear cut solution while still being able to provide judgement and clear direction. Where items of major consequence are involved, reference is made to GHCC and Head of RC Canada. The nature of the role requires close working contact with senior management in Regulatory Compliance and across the Group
May provide compliance support, advice, and guidance to the GBM Global Markets businesses in connection with Volcker Rule and swap dealing activities of the Dodd-Frank Act as it applies to each area of Compliance coverage. Ensuring that Conduct Risk rules and regulations applicable to HSBC Bank Canada will be considered and their requirements incorporated in the Compliance officer’s overall day to day job responsibilities. This includes, but is not limited to, updating policies and procedures, line of business reviews, training, surveillance, registration obligations, regulatory reporting and risk assessments, and escalation of any potential issues of non-compliance to the Head of RC Canada
Seasoned professional with experience in one or more senior risk compliance roles, ideally to include Regulatory Compliance experience
Significant knowledge of Conduct regulations and be able to provide effective and timely guidance
Significant knowledge of the HSBC Group structure, its business and personnel, and a deep understanding of HSBC’s corporate culture
Significant experience in the financial services industry, through a minimum of 10 years experience, is preferred
Well developed effective, leadership skills
Effective communicator with strong inter-personal and influencing skills

Regulatory Compliance Advisory Resume Examples & Samples

Have at least 3-5 years of solid regulatory compliance experience with an SFC regulated Financial Institution
Good understanding of the buyside / asset management / funds industry
Have a can-do attitude, excellent time management skills and client servicing mindset

Regulatory Compliance Coordinator Resume Examples & Samples

Preparation of Export Invoices
Monthly KPI and financial reporting to Senior Leadership
Ability to analyze monthly duty spend
Ability to apply product classification for footwear; apparel; accessory product types
Maintenance of Import Compliance manual and coordinating SOP’s
Post entry audits of Customs entries
Responsible for maintaining documents for correct record keeping and compliance
Responsible for keeping knowledge up to date on Trade Agreements, Trade Compliance and other complexities of International Trade
Answering internal customer inquiries

Regulatory Compliance Executive Officer Resume Examples & Samples

Developing and leading the RC Canada People Management Strategy including Resourcing, Talent framework, performance management, succession planning, career development plans, annual review alignment for RC within the approved Blueprint, and strategic People Development initiatives locally
Leading the strategic development and monitoring of the Annual Operating Plan for RC Canada and supporting the implementation
Ensuring RC change programs and Tareget Operating Model is understood and implemented in a consistent and robust manner, including leveraging the shared services model with Financial Crime Compliance
Ensuring effective management of RC resourcing, staffing, and expense levels
Managing and accountable for all RC external exams and internal audits. The RC Chief of Staff will be the point person to the regulators, examiners and audit representatives audits
Leading communications to Regulatory Compliance staff in line with Local/Group Communications
Managing projects and exercising critical judgment around project execution, cutting across all business lines and regions
Coordinating the half yearly compliance certificates
The job holder is expected to make decisions independently and interact with key external and internal stakeholders at a very senior level, regularly stepping up to the OIC role for the Head of RC and/or acting in his/her capacity
Minimum of a Bachelor degree in business, Master’s degree and/or Juris Doctorate (JD) preferred
Strong experience contributing to the ability to develop and lead a People Management Strategy including Resourcing, Talent framework, performance management, rewards/recognition philosophy, and strategic People Development initiatives
Established background in HR, Operations, and/or Business Planning
Successful management of transformation or enhancement programs
Knowledge of Compliance and/or relevant Audit / Risk experience covering a wide range of business areas
An overall understanding of key current regulatory environment/change initiatives and their impacts on the business from a resourcing, financial, and operational perspective
Strong interpersonal skills with the ability to communicate effectively with Senior Management

Senior Manager Brcm-regulatory Compliance Resume Examples & Samples

Identifying and reporting incidents in accordance with HSBC standards
Develop and provide management information to business/function management and risk committees; may include material operational risks, internal control monitoring results, significant internal control issues, and/or BRCM activities
Support assessment of operational risk in material projects and initiatives; assure adequate mitigation
Vendor: Direct, along with Contract Owners, risk and control management of third party vendors and sub-contracting arrangements, including identifying, assessing, and managing vendor risks and controls, complying with laws, regulations and internal standards, monitoring of performance and defined SLAs, and maintaining exit strategies
Information Security: Manage, along with Business Information Risk Officer, information security risk through the implementation of primary and secondary controls to mitigate the risk, identifying information assets and associated risks, and ensuring information security awareness of employees in business/function
Privacy: Manage the assessment and mitigation of privacy risk, including customer disclosure and access that is compliant with laws and internal requirements, implementation of information security controls for repositories and processes containing personally identifiable information, considering impact of privacy matters on projects and initiatives in area of responsibility
Build relationships and interact with North America ORIC team and other ‘second line of defense’ teams, Global BRCM, and others for operational risk and internal control matters
OIC for Head of BRCM

Risk Governance Regulatory Compliance Resume Examples & Samples

Bachelor degree or equivalent, ideally in Finance, Economics or similar
Confidence to take ideas forward and to challenge others, where appropriate
Experience in dealing with regulators / regulatory issues
Excellent communication skills, both verbal and written; ability to produce concise and effective presentations
Experience in management by influence, facilitating and gaining consensus

Regulatory Compliance AVP Resume Examples & Samples

Communicate with regulators providing filing documents spanning all entities within the business
Maintain and arrange internal systems related to major regulatory entities ie. FSA and BOJ
Play key roles in ad-hoc Regulatory filing projects
Organize and arrange periodic meetings surrounding Regulatory Information and Updates for the business
Co-ordination and implementation of global policies and procedures
Strong attention to detail and capable of multi-tasking in a fast-paced environment
Great communication skills in oral and written
Ability to prioritize and meet deadlines in a timely manner
Experience with compliance or regulatory inspections
Project management skills highly recommended

Regulatory Compliance Supervisor Resume Examples & Samples

B.S. or B.A. in accounting
Minimum 5 -7 years of financial services industry experience; 3 years experience with SEA rules 15c3-1, 15c3-3 and 17a-5 a plus
Series 27 required, Series 7 a plus
Proficient in Microsoft Outlook and Micrsoft Office Suite; Extensive experience with Microsoft Excel. Preferred experience with Microsoft Access. Preferred experience with Sage 500 general ledger system
Experience in educating firm staff on the FRRs. Experience in assisting or leading regulatory exams. Preferred experience with assisting or leading FINRA exams
Ability to collaborate with various business units with the goal of achieving cross divisional education on the FRRs. Ability to understand new business areas quickly
Provide timely problem solving, evaluating issues/processes and providing feedback or recommending process improvements
Extensive knowledge and application of SEA Rules 15c3-1, 15c3-3 and 17a-5 from both a financial and operational perspective
Ability to work in a dynamic and fast-paced environment with minimal supervision

Director Regulatory Compliance Resume Examples & Samples

Provides general compliance support for a significant risk category/business under CMB. Under the guidance of the Director Specialized Compliance, supports advisement on regulatory matters; monitors business unit compliance programs and ensures an effective system of internal controls are developed and maintained. Researches laws and regulations regarding operating procedures for new products and product enhancements to ensure compliance with all applicable federal laws and regulations. Researches and resolves items of concern identified through standard activity monitoring and conducts targeted reviews of specific areas of high risk or complexity
Manages compliance functions in support of domestic and international private banking businesses, ensuring adherence to banking and credit regulations. Maintain awareness of regulatory developments affecting the private banking business and advise line management on the implementation of compliant policies and procedures. Responsible for compliance reports, special compliance reviews, projects and training efforts, as required. Responsible for carrying out projects with regulatory or substantial business impact. May be responsible for compliance discipline or staff development as well
Proficiency with personal computers and pertinent mainframe systems and software packages

Senior Manager Financial Crime Compliance & Regulatory Compliance Monitoring & Testing Governance Resume Examples & Samples

The Monitoring team undertakes the compliance risk assessment and risk-based compliance monitoring (Regulatory Compliance and Financial Crime Compliance) on the all the Bank’s Canadian activities. A Central team provides quality assurance, MI and management information for the team. This role holder will provide the same activities for all the Business Lines, essentially in Canada
A key objective of this role will be facilitating the Monitoring team’s delivery of high quality risk-based monitoring and its reporting to the business, keeping all reports consistent with global standards
The job holder will also be expected to instruct and direct other members of the team and make independent decisions based on their knowledge and experience which can be backed up by sound reasoning
Ongoing need to seek and implement efficiency improvements and enhancements to Monitoring processes and procedures, in conjunction with the Retail business lines
Good working knowledge of Canadian regulatory & fincancial crime requirements and risk-based monitoring techniques
Understanding of HSBC governance, risk management and control frameworks
Varied business and regulatory experience, the latter acquired via Compliance roles and/ or time with a regulator
Excellent planning and prioritization skills are essential
Effective and concise verbal and written communication skills
Lateral, creative thinker with good problem solving and analytical skills
A proven track record of quickly acquiring new skills and expertise
Understanding of the types of services and products offered by the business lines

Wealth Regulatory Compliance Resume Examples & Samples

Advise clients on a variety of regulatory advisory services in the wealth management space that help meet banking compliance requirements
Research emerging trends, regulatory guidance, and best practices
Actively participate in engagement planning and business development
Work within teams to provide valuable insight and high-impact solutions to client issues
Develop, maintain and strengthen client relationships
Participate in the development of industry thought leadership
Coach and mentor staff. Foster and innovative and team-oriented work environment
Display teamwork, integrity and leadership
A bachelor's degree and approximately 5 years of related work experience; or a graduate degree (MBA or M.A. preferred)
Knowledge of regulatory reporting and/or regulatory reporting software packages, as well as bank compliance practices
Experience with the design, development and implementation of internal controls for financial services business processes a plus
Analytical skills; specifically, the ability to assess and decompose financial services industry processes utilizing a risk and control focus
Effective leadership, project management and teamwork skills

Regulatory Compliance Monitoring & Testing Risk Strategy Resume Examples & Samples

Works with testing teams and business managers to identify systems-needed sources of data for testing
Creates business process flows and performs analysis to identify data integrity weaknesses
Some U.S. domestic travel may be required
Minimum of five to seven years proven and progressive financial services audit, operations, and/or compliance experience or equivalent, preferably in a large bank environment
Bachelor’s degree in business, finance, related field or equivalent experience
Strong communications, analytical, interpersonal, organizational, and planning skills
Working knowledge of assigned businesses, products, operations, systems and organization and understanding of all significant regulatory compliance requirements applicable to the business
Understanding of operational risk and associated business workflows
Sound understanding of automated tools and techniques including DBMS, Excel, and data analytical tools including ACL and spotfire
Experience with forensic data testing, design, and interpreting data queries
Strong understanding of banking systems, databases and banking products
Depending on the role, required professional certification (e.g., CAMS, CISA, CRCM, CCRP, CIA, CFSA, CPA, etc.) is desired

Regulatory & Compliance Manger Resume Examples & Samples

Key role in the design of an appropriate Regulatory & Operational Risk Control Framework for this firm in line with the Risk Management framework
Short term focus will include CRE, Residential Mortgage, Data Protection and AML, with potential longer term focus incorporating lending and servicing of other asset classes
Co-ordinate with other team members to ensure implementation of control risk standards, development of policies and appropriate process controls to ensure control standards are consistently applied
Provide on-going and objective oversight of firm activities with a view to detecting potential risks and non-compliant activity at the earliest possible stage. Specific attention to policy compliance, functional governance and regulatory standards
Develop and implement communication plan and outcome tracking to ensure that all key leaders and functional groups are fully aware of all governance activities and expected compliance standards
Execute appropriate controls on 3rd party vendors and/or sub-processors on a regular basis to assess execution of agreed SLA, Code of Conduct and other related policies, for example data privacy and IT security etc
Development of Regulatory & Operational Risk Policy
Annual documented risk assessment and plan, reviewed and updated as required
Identification and mitigation of regulatory and operational risk issues supported by documented testing and monitoring
Monitoring and tracking adherence to Annual Compliance Plan

Senior Regulatory Compliance Resume Examples & Samples

Lead and manage entire Compliance team within securities
Communicate and resolve regulatory enquiries from external stakeholders ie. FSA
Co-ordinate extensively with whole business (front, middle, back) on any compliance related issues
Create reports for onshore department and internal departments in overseas counterparties
Work closely with clients in review of documents
Organize training sessions
Ensure proper monitoring of infrastructure
Manage issues and run compliance related projects
Up to 5 years experience related to Compliance
Up to 8 years experience in financial services
Good understanding of FX and futures markets
FSDA qualification for internal control
Great communication and presentation skills
Excellent PC skills using Microsoft (Word, Excel) and Lotus Notes etc

Regulatory Compliance Counsel Resume Examples & Samples

Management and oversight of onsite regulatory examinations
Identification, gathering, organization and coordination of production of documents
Regular interaction with regulatory personnel
Working closely with UBS employees throughout the firm
Identify and escalate issues posing potential regulatory risk
Drafting written responses
Handling multiple matters simultaneously
This role will also be responsible for assisting with the management of surveys
Assist with the process for regulatory reporting obligations of Regulatory Compliance
Work closely with business and compliance personnel to formulate remedial actions and drive their implementation
Track/monitor the implementation of remedial actions
Create and distribute internal reports relating to pending regulatory matters
Manage and oversee special projects
Previous experience handling regulatory examinations

Regulatory Compliance Associate Resume Examples & Samples

Provide advisory and guidance services relating to compliance to all business aspects including front office and securities
Responsible for compliance monitoring and implementation
Creation and execution of compliance trainings
Communication with senior stakeholders and reporting
Documentation and client reviews
Interface with regulators and take part in on-sight/off-sight inspections
Banking or securities experience, but open to corporate work experience or equivalent knowledge and skills
Compliance experience within financial institutions or non-financial institutions
JSDA qualification for internal control
Excellent PC skills using Microsoft (Word, Excel)
Basic legal knowledge especially securities related

AVP Financial Crime Compliance & Regulatory Compliance Commercial Banking Advisory Resume Examples & Samples

This position is only to be used in areas where the organizational structure has (Senior) Managers reporting into a level between the (Senior) Manager and Director
Positions designated as “general compliance” are typically focused on one or more major lines of businesses within the Company (i.e. RBWM - Consumer Lending, Retail & Commercial Banking, Card Services. CMB - Commercial Banking, Payments & Cash Management, etc.). Many of the businesses entail a high degree of regulatory compliance and reputational risk, particularly with respect to risks arising out of non-compliance with extensive and complex regulations. Failure to comply with these regulations would have significant negative effects on relations with regulators, the reputation of the Company with the public and may result in regulatory impediments to mergers and acquisitions and significant regulatory sanctions, including regulatory fines of material amounts
The position directs compliance activities for the largest and/or most complex businesses in North America and is considered a senior compliance position within the business unit and/or function
RBWM - Card Services etc . CMB - Global Trade & Receivables Financing and Payment & Cash Management etc
Consumer Lending
Minimum of ten years proven and progressive financial services operations, compliance and/or legal management experience or equivalent
Bachelor’s degree in business, related field or equivalent experience; Master’s degree preferred

Manager of Regulatory Compliance Management Resume Examples & Samples

Assist with management of implementation of the WM RCM, and its update. The RBC WM Canada business units include: RBC Dominion Securities, PH & N Investment Counsel, RBC WM Financial Services and Royal Trust
Coordinate with global partners to ensure consistency of RCM across regions and platforms, as necessary
Review regulatory changes and coordinate applicable risk assessments, monitoring and testing
Coordinate regular risk assessments of the relevant business units
Document controls and mitigation efforts relating to regulatory requirements and risks
Document and (as needed) coordinate reporting on control and mitigation efforts
Draft, review, and update policies and procedures
Undertake special projects as necessary
Minimum three years wealth management compliance experience or equivalent in legal or industry global counterparts
Ability to manage projects and collaborate effectively
Understanding of wealth management compliance issues
Familiarity with IIROC rules
Undergraduate degree (B. Comm., B.Sc., B.A.) or law degree
Completed securities industry courses, such as Canadian Securities Couse, as asset
Project management experience an asset

Senior Manager Financial Crime Compliance & Regulatory Compliance Resume Examples & Samples

The job holder will report to the Head of RC & FCC HIDC and will have accountability for ongoing management and oversight of the FCC and RC Surveillance function within HIDC Compliance
Minimum 6 -10 years of Compliance, Legal, Global Functions and/or Regulatory experience
Industry related continuing education, including but not limited to CAMS and the Securities Courses (i.e. CSC, CPH, Traders Training Course, Derivatives Course)
Strong communication and influencing skills – both verbal and written
Operates effectively across cultures and in multi-cultural diverse work environments

Regulatory Compliance Resume Examples & Samples

Responsible for implementation of controls as First Line of Defence including risk based monitoring / testing etc
Coverage includes all global Lines of Business, Global Functions and HOST target
Work extensively across APAC region teams to communicate and co-ordinate compliance initiatives
Perform risk based planning and analysis
Participate in ad hoc projects whether locally or regionally
Good understanding of legal knowledge related to financial law (Banking Act, Financial Instructions and Exchange Law etc.)
Proficient at MS computer knowledge (MS Word, Excel etc.)
Great communication skills to properly convey monitoring / testing results to target destinations
Native level Japanese, fluent in English
Previous experience in AML / Sanctions compliance or equivalent knowledge and skills in financial institutions or others
Basic knowledge of accounting and tax or ACAMS license
Compliance experience outside of financial institutions

Regulatory Compliance Resume Examples & Samples

Full and deep analysis of all Internal Control regulatory requirements set for in different applicable regulations and policies for GFB and Subsidiaries to evaluate adequate compliance
Participate in Franchise Reviews and other initiatives and projects from the OGC
Support in the design and implementation of the Internal Control Manual of GFB and those for subsidiaries with
Graduate or Post-Graduate
Work Experience: 10 years
At least 3+ years of experience in successfully managing Compliance programs through the full project lifecycle, from conception through rollout and ongoing support
Industry and relevant Compliance or Control knowledge is required
Financial services industry experience a plus
Financial and/or management reporting experience
Strong knowledge and broader use of MS Office including, Project and Visio
Bachelor’s Degree. A Lawyer desirable
Fluent in English and Spanish

Regulatory Compliance Consultant Resume Examples & Samples

Bachelor’s Degree in Pharmacy or PharmD
Experience with laws, rules, and regulations for the Practice of Pharmacy
Current Pharmacist License, active and in good standing
Demonstrated comprehensive, in depth knowledge, of regulatory requirements, with ability to interpret standards and implement processes accordingly
Knowledge of current regulations as it pertains to Pharmacy and Wholesale
Have prior background working in a compliance related area
Ability to quickly develop strong professional working relationships internally and externally
Expertise in working collaboratively and communicating with staff in different positions and all levels of management positions
Excellent computer skills including Microsoft Word, Outlook, Power Point and Excel
Experience interacting with state and federal agencies

AVP Regulatory Compliance Global Banking & Markets Resume Examples & Samples

Existing experience of working in a business facing Regulatory Compliance or legal function
Experience of working in an investment bank’s Control Room would be useful
Knowledge of B&CF business (Coverage, DCM, ECM, PEF, PCM, Mergers & Acquisitions), including products, operations, systems and organization
Experience of dealing with regulatory matters and confident interaction with Regulators
Experience of working for a large international organization preferred

Head of Regulatory Compliance Resume Examples & Samples

Functional Manager: Americas Head of GBM Regulatory Compliance
A minimum of 15 years’ experience in the financial industry with a minimum of 7 years in a Regulatory Compliance or Legal role with an Investment Bank or Dealer
Minimum of a Bachelor’s degree in a related field or equivalent experience
A solid understanding of applicable Canadian regulations including IIROC rules and a subject matter expert with respect to compliance with trade execution, order exposure and marketplace requirements
A good understanding of the GBM / investment banking businesses, including products, operations, systems, organization and the typical regulatory risks within. Business knowledge should include an understanding of: Markets Sales & Trading activities and Fixed Income, Currency and Commodities (“FICC”) products; Banking Client Coverage and; Capital Financing (DCM, ECM and PEF)
Ability to develop practical, cost effective solutions to complex issues
Experience of creating, leading and motivating a team
Experience of working within a matrix environment preferred including reporting internationally
Knowledge of foreign regulation with extra-territorial applicability (e.g. Dodd Frank Act, US SEC 15a6, MiFID, EMIR) advantageous
Ability to lead change in Canada, contributing to joining up with the other teams in Risk and Business globally

Regulatory Compliance Assurance Manager Resume Examples & Samples

Manages and fulfills on a timely basis a schedule of reviews of certain U.S. Compliance functions, in accordance with the Compliance Functional Instruction Manual (“FIM”), Sections B2.1.3, and CRMP Manual as directed by the Head of the department. Instructs and directs other members of the team and makes decisions based on knowledge and experience on certain reviews. Takes direction from Immediate Supervisor or Review Lead and executes specific sections of a work plan on more complex reviews. When unsure, guidance should be sought from Assurance Director and/or Regional Head of Assurance, U.S
The Global Assurance function is a new function being implemented in the U.S. Limited travel within the U.S. will be required to Compliance teams based outside New York City
Minimum Bachelor’s degree in related business field, or comparable experience required
Minimum of ten years progressive audit or compliance experience in the financial services sector; experience within both audit and compliance a significant plus; previous experience working in an Assurance function also a plus
Demonstrated understanding of or ability to understand GSM and FIM requirements
Excellent communication skills both oral and written
CIA, CPA, CRCM, CFSA and/or CAMs certification a plus

Regulatory Compliance Oversight Resume Examples & Samples

Provide oversight and support to Regulatory Compliance team (both NY and Jacksonville)
Supervise junior team members on all aspects of the Regulatory Compliance process
Coordinate and manage the day-to-day workflow around the weekly briefing, impact assessment and action planning process for Regulatory Compliance, and ensure sufficient follow-up and tracking of all open matters
Work with the team to provide a holistic view of significant new / changes rules and regulations for Compliance and communicate to internal stakeholders
Coordinate updates for the team on regulatory developments with respect to all management information (“MI”) reports and issue tracking (e.g., Significant Regulatory Developments deck, DBSI Report, Compliance Program Report, Compliance Work Plan) and provide to relevant stakeholders as needed
Provide clear and consistent reporting and escalation of regulatory developments to ensure status of implementation is transparent at all times and that any delays are highlighted and addressed with relevant team members
Develop and manage process to QA the team’s “Master Tracker” in order to identify issues and gaps
Support the Regulatory Compliance process roll out to Canada, Cayman Islands and LatAm
Serve as team representative for Compliance Change on development of automated tool to support the Regulatory Compliance process
Serve as team representative for Thomas Reuters to ensure quality and efficiency with respect to our weekly feed of new / changed rules and regulations
Maintain distributions lists, weekly briefing criteria, contact/ meeting logs and other similar documentation supporting the Regulatory Compliance process and our interactions with the Compliance Advisors and Business / Infrastructure areas
Manage final version control for all Regulatory Compliance documents and forms stored in the shared drive
Manage the Regulatory Compliance KOPs and workflow documents and work with the team to update, as needed
Develop and maintain escalation tracking and remediation efforts for Regulatory Compliance Working Group
Develop a process to support the validation of material rules and regulations for purposes of MaRisk and CCF risk assessment processes
Work with the team to develop and provide training to Compliance Advisors, as needed
Proactively and efficiently interact with both the NY and Jacksonville teams regarding the process and status updates for regulatory developments
Help maintain the intranet page for Global Regulatory Compliance and coordinate updates and changes needed
Assist with Regulatory Compliance projects and tasks, as may be requested from time-to-time

Head of Bank Regulatory Compliance & Regulatory Inquiries Resume Examples & Samples

Lead the Regulatory Inquiries and Bank Regulatory Compliance team to provide guidance to develop, implement, and maintain effective compliance programs for all applicable laws, regulations, and policies for RBC
Meet with Regulators and oversee regulatory examinations and reviews as needed to provide requested information
Partner with business to identify appropriate controls to achieve effective regulatory management
Excellent knowledge of relevant rules, regulations, procedures and expectations of relevant exchanges

Bank Regulatory Compliance & Regulatory Inquiries Resume Examples & Samples

Assist the Head of Bank Regulatory Compliance and Regulator Inquiries in leading the team to provide guidance to develop, implement, and maintain effective compliance programs for all applicable laws, regulations, and policies for RBC
Actively monitor regulatory developments and trends affecting the Bank and Capital Markets businesses
Establish and maintain relationships with key Regulators covering both the Bank and Capital Markets business
Foster a culture of compliance and with understanding relevant existing and pending regulations
BA, MA or MS
Strong interpersonal skills and superior judgment
Solution orientation
Ability to accept accountability, assume pro-active leadership, demonstrate initiative, and lead by example in teamwork, cross-unit co-operation, information sharing
Business orientation, ability to understand needs of users and address conflicts, competing priorities as necessary

Analyst Financial Crime Compliance & Regulatory Compliance Operations Quality Assurance Resume Examples & Samples

Be proactive to put forward plans and able to prevent potential fraudulent situations
Be able to generate, understand and also interpret MI reports on quality reviews conducted
Flexibility in adopting changes as per the department requirements
Promote an environment that supports diversity and reflects the HSBC brand
Drive standardized Quality process through the quality tools provided
Minimum of two years proven and progressive audit, compliance, financial services operations experience or equivalent
Bachelors degree in business, finance, accounting or equivalent experience
Good interpersonal, problem-solving, communications and analytical skills
Knowledge of products, services, operations and systems and extensive dealing with laws, regulations and regulatory agencies related to assigned areas
Preferably from the Commerce or Finance background
Knowledge of various Banking Products (Eg. Savings Bank Account, Current Accounts, Business Account etc)
AML Compliance Product Knowledge relating to Money Laundering, Crime and Terrorist financing
General understanding of Financial Products and Markets
Good understanding of Internet and its usage
Political, Social and Economic knowledge of countries that are major players in the global economy
Sound understanding of the AML Regulatory requirements
Ability to speak and understand English fluently, and write reports effectively
Ability to learn quickly, transfer knowledge appropriately, understand and interpret numeric data
Evidence of good analytical, statistical and data mining skills to study trends and make projections
Well-developed investigation skills, and highly skilled in report writing

Rfdar Production Regulatory Compliance Resume Examples & Samples

Risk and Finance Data Management
Risk and Finance Calculations and Models
Data Assurance, Reconciliations and Remediation
Bank-wide Operational Risk Reporting
Production Controls Oversight
Facilitate the regulatory self-assessments for the Production function across market risk, credit risk and financial data in line with the banks self-assessment framework. This entails working with the broader CRO regulatory co-ordination teams who are based in Americas, EMEA and APAC and the management team to complete the assessments followed by an independent review of the results. There is a large project expected across all CS US regulations which will be the core focus for 2016
Develop and maintain the inventory of the regulatory commitments of the production function to help the control function conduct quality assurance on the activities. Be proactive and forward looking in new or changes to the commitments and map these back to owners, process, KPI
Be the central coordinator for all regulatory presentations, develop the standard look and feel for the production function in line with guidance from the broader regulator co-ordination group. Have a central repository of the presentations and ensure that all data points are cross referenced and in line with the productions mandate
Graduate in Banking & Finance or related discipline preferred
Work experience as a manager or team lead in a Financial Institution either in Operations, Product Control, Financial Accounting or other shared services functions. Relevant experience in projects or transformation initiative focused on stakeholder management and facilitation across various departments
Experienced in understanding of the regulatory and compliance related matters
Must be a solid communicator across all corporate titles. Presentation skills a must coupled with stakeholder focus is essential
Solid people leadership experience
Project management abilities
Solid presentation skills
Stakeholder management focused individual

Regulatory & Compliance Counsel Resume Examples & Samples

*This is a multi-level position…compensation grades 48, 49 OR 50. The successful candidate will be placed at the level which best fits his/her skill set and experience.***
J.D. from ABA-accredited law school
Bachelor’s degree in Accounting a plus
7-12 years of progressive growth experience
Experience in a complex organization working across multiple business units, functions and locations
Previous compliance, regulatory or risk/control experience
Knowledge of capital markets products, services and transactions
Experience with Federal Reserve Board requirements a plus
Flexibility to shift roles within a compliance program as it develops
Prior experience with a compliance program is desirable
Exceptional reasoning and analytical skills, particularly as to complex transactions and legal documents
Knowledge of bank regulations
Ability to offer solution-based compliance guidance to business units and functions
Ability to simplify complex compliance terms and conditions
Ability to communicate effectively, orally and in writing
Ability to interact, negotiate effectively and foster partnership and collaboration with Finance Risk team, business units and functions
Excellent organizational skills, attention to detail and time management, supported by a strong work ethic and drive toward excellence; and
Ability to proactively research and draw reasoned conclusions concerning the application of regulatory requirements

VP Regulatory Compliance 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
Articulates any control weaknesses and status of plans to address these across HNAH. Initially, this information will be part of the Regulatory Controls Review (RCR) Controls remediation Project for each regulation
Typically works under the direction of the SVP Regulatory Compliance or VP Director Regulatory Compliance. May be responsible for the management of AVP Regulatory Compliance and Regulatory Compliance Officer staff
Strong background in compliance within a financial services environment and be able to understand, interpret and apply complex regulatory requirements to business practices

Director, Regulatory Compliance Assurance Resume Examples & Samples

Each incumbent is responsible for reviewing assigned areas within U.S. Compliance (1) Financial Crime Compliance including: Bank Secrecy Act/Anti-Money Laundering, Sanctions and Anti-Bribery and Anti-Corruption compliance programs (2) Regulatory Compliance – Banking including: compliance programs for commercial, retail and private banking activities and (3) Regulatory Compliance – Securities including: compliance programs for broker dealer and asset management activities
To fulfill on a timely basis a schedule of reviews of all U.S. Compliance functions, in accordance with the Compliance FIM, Sections B2.1.3, the job holder will be expected to instruct and direct other members of the team and make decisions based on their knowledge and experience. When unsure, guidance should be sought from job holder’s direct manager or Group Assurance. The job holder is expected to act proactively and develop ideas for enhancements to the department’s activities
Minimum of fifteen years proven and progressive financial services auditing/Compliance testing experience. CIA, CPA, CRCM, CFSA and/or CAMS certification a plus
Proven technical expertise related to assigned areas
Financial Crime Compliance incumbent should have minimum of ten years of experience working with AML and Sanctions Compliance programs. Anti-Bribery and Anti-Corruption compliance experience is a plus
Regulatory Compliance Banking incumbent should have a minimum of ten years of experience working with varied aspects of Banking compliance programs. Incumbent should have experience with Regulatory Compliance programs supporting commercial, retail and private banking activities
Regulatory Compliance - Securities incumbent should have a minimum of ten years of experience working with compliance programs supporting a broker/dealer and have knowledge of products (equities, fixed income, derivatives), how products trade and how the capital markets process works. FINRA Series 7, 9, 10, 24, 63 and/or 79 licensing is a plus. Investment Advisor compliance program experience is also a plus
Strong knowledge of banking regulations, businesses, products, operations, and systems. Strong understanding of significant regulatory compliance requirements applicable to the business
Experience and successful contribution to the formation of a new department, group or project, a plus
Excellent organizational, project management and planning skills

Regional Regulatory Compliance Resume Examples & Samples

To assist in managing the daily operation of Regulatory Compliance team
To assist in reviewing the compliance related policies and procedures, as well as updating the relevant operation manuals
To assist in executing and monitoring the requests made by HKMA and other regulatory authorities, as well as handle ad hoc projects
To study the new regulations / consultation papers issued by regulatory authorities and assist in fostering a strong compliance culture of the Bank, etc

Regulatory Compliance Counsel Resume Examples & Samples

Supports and builds infrastructure and processes to support increasing and new client requirements arising from the growth of the third party asset management business. Additionally, as compliance and regulatory infrastructure is built out, this position could evolve into also providing coverage of regulatory and governmental affairs
Advises on various distribution and compliance issues
Negotiates variety of agreements and creates controls to implement requirements from agreements
Effectively identifies applicable new and emerging laws and trends
Synthesizes such data in order to effect changes to relevant Company practices, policies and protocols
Helps affected areas implement necessary adaptations such that the Company is compliant with applicable law and desired business standards and that the same can then be tested by second and third line functions
Assists other AAM attorneys with variety of other projects needed to support 2020 initiatives, improve control environment and backfill as necessary
Provides legal support to operations
Investigates and analyzes various factual scenarios and ambiguous situations without much instruction
Supports various members of legal team and play different roles across a number of functions as needs from 2020 growth objectives arise
Advises other legal team members and the business on legal requirements and practical solutions for addressing them
Evaluates rules, risks and give practical guidance to facilitate solutions while appropriately mitigating regulatory risk
Developing a clear view on rules that may be ambiguous in their application
Minimum of 2-5 years of experience at a law firm or corporation
Knowledge in one or more areas including investment advisor rules, securities laws, transactions, distribution and compliance/operational matters preferred
Prior experience at a law firm or investment advisor in securities, transactions, investment management agreements preferred

Senior Analyst Financial Crimes Compliance & Regulatory Compliance Management Information Systems Resume Examples & Samples

Strong analysis and problem solving skills
Motivated and results oriented professional who enjoys working in a fast paced environment
Escalates any project issues to manager
A Bachelor’s degree or equivalent experience with a major or minor in Computer Science or related Strong written and verbal communication and problem solving skills; proficiency in analytic and quality assurance techniques; leadership ability; and a willingness to take appropriate risks
Three plus years’ experience in MIS, Risk Management or related field
Experience with various Business Intelligence tools such as Cognos or Qlikview
Proficient with Excel, Word, and PowerPoint

100

Senior Manager Compliance Regulatory Compliance Management Project Resume Examples & Samples

In conjunction with the Director, Compliance, Regulatory Compliance Management engage with Scotiabank’s Business/Compliance Units and other internal/external RCM Stakeholders identify industry best practices, capture Scotiabank-specific requirements, define enterprise standards and create common RCM processes
Identify and track regulatory compliance issues through remediation and archive resolution details
Participate in the design and deployment of concise, near real time, reader-friendly reports that support the operational needs of Scotiabank’s Business/Compliance Units as well as the strategic needs of Scotiabank’s Senior Executive and Board of Directors
Support the Director in the management of multidisciplinary sub-projects through planning, solution development and global implementation
Help execute the quality assurance mandate to ensure Scotiabank’s continuing compliance with OSFI’s RCM Program obligations and with changing regulatory obligations in all the jurisdictions in which Scotiabank operates

101

Senior Regulatory Compliance Content Specialist Resume Examples & Samples

Escalating instances of non-compliance with the FCC/RC Training Plan to senior level management in the business and support units
May provide compliance support, advice, and guidance to the CCO of HSBC Bank USA, N.A. and the GBM Global Markets businesses in connection with Titles VI (Volcker Rule) and VII (swap dealing activities) of the Dodd-Frank Act as it applies to each area of Compliance coverage. Ensuring that rules and regulations applicable to HSBC Bank USA N.A. as the CFTC registered Swap Dealer will be considered and their requirements incorporated in the Compliance officer’s overall day to day job responsibilities. This includes, but is not limited to, updating policies and procedures, line of business reviews, training, surveillance, registration obligations, regulatory reporting and risk assessments, and escalation of any potential issues of non-compliance to the CCO. Work with GBM line managers to see that they are informed of the Dodd Frank related requirements and assist them to implement these requirements in the GM business
Minimum of eight to ten years proven training and delivery experience, or equivalent
Minimum of Bachelor’s degree in education, communications, or related field or equivalent experience
Strong managerial, planning, analytical, decision-making, lateral thinking, leadership, influencing, verbal and written communications, interpersonal and project management skills
Training delivery & design experience
Strong knowledge of Banking and Broker Dealer Rules/Regulations/AML Compliance Program requirements; including the U.S. Bank Secrecy Act, the USA PATRIOT Act, U.S. Sanctions requirements, as well as knowledge of the constant changing FCC/RC environment
Proficiency with Personal Computers as well as revenant mainframe systems and software packages

102

Senior Analyst Financial Crime Compliance & Regulatory Compliance Management Information Systems Resume Examples & Samples

Motivated and results oriented professional who enjoys working in a fast paced environment
Escalates any project issues to manager
A Bachelor’s degree or equivalent experience with a major or minor in Computer Science or related Strong written and verbal communication and problem solving skills; proficiency in analytic and quality assurance techniques; leadership ability; and a willingness to take appropriate risks
Experience within a large financial services organization
Three plus years’ experience in MIS, Risk Management or related field
Experience with various Business Intelligence tools such as Cognos or Qlikview
Proficient with Excel, Word, and PowerPoint

103

Regulatory Compliance Risk Assessment Officer Resume Examples & Samples

To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulators
Complete other responsibilities, as assigned
Broad scope of knowledge of assigned businesses, including products, operations, systems, and organization and full understanding of all significant regulatory compliance requirements applicable to assigned business(es)

104

Regulatory Compliance Strategy Resume Examples & Samples

At least 6-10 years experience working within the financial sector (directly, or in a regulatory or advisory role)
Proven communication, presentation, and business writing skills in English and ideally, in Chinese languages
Knowledge of the latest regulatory developments and current issues facing financial firms in at least one Asia Pacific jurisdiction (Australia, China (including Hong Kong), Japan and/or Singapore preferred)
Ability to develop hypothesis-driven analysis, and to lead and contribute to fact-based, impact assessments
Ability to work across several streams simultaneously; under own initiative
Strong ethics with high professional standard
Regular regional travel may be required

105

Regulatory Compliance Consultant Resume Examples & Samples

Project Involvement – Participation and involvement with regard to assessing risks inherent in significant changes in business processes or work flows, and changes or additions to operating systems.. Support business initiatives by participating in the tactical development of the initiative’s compliance and operational process and by analyzing initial and ongoing results of an initiatives’ roll-out compared to original plan. Involvement includes, but is not limited to, project team participation, system testing, post-project support and incorporation into the Compliance QC review process as appropriate
Experience with 3 or more regulations related to the assigned 1st Line of Defense function or LOB
Ability to organize, direct, and perform highly complex analysis and interpret complex laws and regulations
Demonstrate strong leadership, management and relationship management skills
Demonstrated working knowledge of standard compliance concepts, practices, policies and related state and federal laws and experience with regulatory agencies, requirements, and/or regulatory compliance; such as UDAAP, Truth-in-Lending, Regulation B, and all other consumer protection requirements
Strong communication skills, both verbally and written
Effective influencer at all levels of executive management in order to ensure that key initiatives receive the appropriate attention
Ability to work within a matrix organization

106

Regulatory Compliance Risk Metrics Reporting Resume Examples & Samples

Identify and Assess Issues – 25%
Documentation and Monitoring – 25%
Reporting and Escalation– 25%
Approval and Close of Issues– 25%
Understanding of the regulatory and compliance requirements applicable to the assigned AU(s) for BMO CM
Solid knowledge of the Broker Dealer and Banking Regulations, which include but not limited to SEC, FINRA, OCC, FRB, CFTC, IIROC, OSFI etc
5+ years of relevant experience preferably in Capital Markets
Knowledge of Investment Banking and Corporate Banking, Trading Products regulations a plus
Strong written and oral communication
Strong relationship management skills; ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions
Ability to read technical compliance material and distil the applicability of the regulations to their respective business unit(s)
Excellent project management, auditing, writing, communications and presentation skills
Excellent judgment and interpersonal skills, who can consult, influence, collaborate, effective challenge colleagues across first, second and third line and the business groups
Ability to communicate questions and requests in a professional and clear manner
Certification in Compliance and/or Risk Management would be ideal

107

SVP Regulatory Compliance Strategic Initiatives Resume Examples & Samples

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
Minimum of a Bachelor’s degree in business, related field or equivalent experience; Master’s degree and/or Juris Doctorate (JD) preferred
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)

108

Head of Regulatory & Compliance Training Resume Examples & Samples

55%: Regulatory and Compliance Training Management
Leads the development of training programs across R&D functions
Provides R&D organizational leadership to instruction design for Regulatory and Compliance training
Assess various training approaches appropriate for the intent and scope of training, ensuring the programs get developed with clarity of learning objectives and effective delivery
Establishes and Manages the training curriculum and matrix for R&D functions including SME training and provides updates as applicable
Develops training for cross-functional policies, processes, and standards, to ensure R&D groups are working effectively and collaboratively in compliance with global regulations and company standards
Works with the Subject Matter Experts (SMEs) in the interpretation of global regulations and guidance’s and the impact on the training materials for R&D’s policies and standards
Collaborates with the other R&D QA & Compliance Sr. Leaders in identifying areas of regulatory and training needs
Identifies gaps and redundancies and coordinates and implements training curriculum and design updates with R&D functional representatives, QA/C Sr. Leadership, R&D Leadership and other applicable groups such as Technical Operations, Corporate Compliance, Legal and business units
Ensures the timely revision and updaters to training materials
15%: Inspection Readiness
Ensures that R&D is inspection ready and staff are trained in the applicable regulatory and compliance requirements
Acts as the representatives during audits and inspections to provide training and compliance overview
Oversees the coordination of the training Program inclusive of the creation of the training curriculums
Participates, performs and/assists in the root cause analysis of compliance issues and develops appropriate metrics for tracking, trending and reporting to functional and senior management
15%: Leadership
Managing Performance: Ensure every employee knows what is expected of them, what it takes to be successful, and how they are progressing. Hold everyone accountable to achieve results while demonstrating Shire values
Developing People: Help employees continually grow through challenging opportunities so they can realize their potential
Fostering a Brave Culture: Show employees what Brave looks like by being a role model. Create the environment in which people are able to be Brave and a culture where any risks are always in compliance with applicable laws and regulations
15% R&D QA & Compliance Leadership
Bachelor’s degree in a life science or education required; Master’s Degree in management, education or scientific discipline a plus
At least 10 years of pharmaceutical experience
Ideal candidate will have broad experience in training and education, product development, clinical operations, regulatory compliance, quality management systems, IT systems, and at least 7 years of direct management experience

109

Financial Crimes Compliance & Regulatory Compliance Operations Quality Assurance Analyst Resume Examples & Samples

Minimum of two years proven and progressive audit, compliance, financial services operations experience or equivalent
Good interpersonal, problem-solving, communications and analytical skills
AML Compliance Product Knowledge relating to Money Laundering, Crime and Terrorist financing
Good understanding of Internet and its usage
Ability to learn quickly, transfer knowledge appropriately, understand and interpret numeric data

110

Regulatory Compliance Life Sciences Manager Resume Examples & Samples

Key client service delivery of assessments, monitoring, investigations, reviews and ongoing client support in connection with regulatory and compliance matters in the Life sciences industry
Providing hands on support on effective compliance program assets as needed to support client consulting engagements
Workplan and Monitoring plan development, onboarding team members, and execution of workplans to align to client compliance needs and regulation requirements
Handle other duties as assigned by employer
BS or B.A
4-7 years’ experience in consulting, public accounting, or other professional services organization in a client service role focused on Life Sciences
Experience in professional services consulting on matters related to Compliance program effectiveness or issue response for Life Sciences companies and associated regulations, regulators, and enforcement actions
Strong leadership skills and being a “team player”
Demonstrated consulting and critical thinking skills; experience developing the workplan and making appropriate adjustments to meet the client & regulatory needs
Comfortable performing multifaceted projects and developing other team members
Communications: Strong listening skills, Clear Logical executive summary and detailed reporting both in written and verbal communications
Driven and Results Motivated
Develop effective working relationships with client and team members

111

EEO / Regulatory Compliance Consultant Resume Examples & Samples

Assist with preparation of Affirmative Action narrative and Technical Reports for each plan/location
Compile and perform preliminary analysis of data in support of OFCCP audits and requests for additional information; Analyze same for risks, and opportunities for improvement
Assist with OFCCP data requests, review data for accuracy and prepare OFCCP Submission
Provide process improvement and other relevant change recommendations to Director, EEO & Regulatory Compliance based on audit findings; assist and/or lead with implementation of change based on audit findings
Work with counterparts in the ESC, HRIS and TAM Departments to ensure data integrity and compliance of systems, interfaces or enhancements with government regulations
Assist with coordination of Action Oriented Programs for each Controlling Establishment
Partner with TAM City Reps and AAP Administrators to schedule local targeted Outreach Efforts
Partner with TAM City Reps to establish and maintain local employment partnerships
Assist with collection and maintenance of Outreach Activity Documentation
Keep current on regulations and best practices utilizing a variety of sources, benchmarking and industry networks
Project Lead as needed
Other Projects/Assignments as needed specific to Regulatory Compliance

112

Head of Bank Regulatory Compliance Resume Examples & Samples

Work with business heads to identify, discuss, and address emerging regulatory trends that may impact their relevant business operations from a compliance perspective
Responsible for fostering a culture of compliance and with understanding relevant existing and pending regulations
15 or more years of compliance experience obtained in at a relevant regulator or a financial institution, including direct interaction with the Fed or OCC
Strategic thinking
Partnership mentality with respect to rest of RBC enterprise, including other functions
Ability to maintain confidentiality of highly sensitive information

113

Director Compliance Change Management Regulatory Compliance Management Resume Examples & Samples

Ensure that the Bank’s leadership teams understands the cultural, organizational and human resource issues that are arising as a result of the various Global Compliance, RCMP initiatives and project streams by
Assist in understanding their role in the change process
Building commitment and ownership for driving the changes
Coaching leaders and key stakeholders to lead and champion change within their teams, cascade key messages - to ensure the imperative for change is well understood, and that they role model expected behaviours to create and sustain momentum
Identifying barriers to implementation that may arise from them and develop mitigating solutions
Lead and develop organizational readiness plans and change strategies by
Providing functional expertise in the area of organizational readiness and developing overall Program Change Management Strategy, including individual project change strategies, as appropriate
Developing and implementing a change management plan that addresses the change impacts of the project(s), while minimizing stakeholder resistance and maximizing engagement
Assessing the organization’s readiness for change and potential barriers to implementing change and providing mitigation solutions
Playing a key role in overseeing HR strategies to motivate and retain employees in Global Compliance and other impacted groups during a time of dynamic change
Developing and executing measurement strategies for change management and learning initiatives related to the RCMP; assessing the effectiveness of current applicable areas change & learning processes; identifying strengths and opportunities for enhancement
Support the RCMP Project Team(s) and key stakeholders to meet business and scheduling objectives, focusing on the people side of change by
Understanding the people impacts as a result of changes to applicable processes, systems and technology, job roles and organization structure
Promoting knowledge sharing across the applicable areas and other stakeholder groups
Working with the RCMP Project Team(s) and other stakeholders and partners to achieve project objectives as well as to ensure that Scotiabank’s formal organization infrastructure (i.e. performance management, succession planning, rewards, learning, etc.) supports the new ways of working
Working with HR Training to conduct a skills gap analysis and plan training based on new and /or redefined job roles
Lead the RCMP development and execution of integrated communication strategy, plans and activities that aligns messages and programs and supports the successful execution of the RCMP initiatives by
Identifying communication needs and developing appropriate communication strategies and plans to assist senior management team to foster a broader understanding of initiatives and projects and in the execution of the RCMP strategy
Identifying, planning and executing communication initiatives that enhance and improve the RCMP communication with key stakeholders and businesses
Overseeing the creation of communications designed to highlight short-term, visible and meaningful “wins”, to sustain project momentum
Providing support and advice to RCMP project stakeholders on communication strategies and plans
Developing and executing measurement strategies for communication initiatives; assessing the effectiveness of current RCMP communication processes; identifying strengths and opportunities for change and enhancement
Quarterly reviews on the RCMP Strategy and execution plans with the management team
Experience in leading major change management and communication activitiesfor complex transformation initiatives
Be a hands on member of the team as required
Proven ability to engage and manage stakeholders in a complex, matrixed environment
A high degree of flexibility to adapt to a wide variety of tasks and functions
Strong project management skills and experience

114

Securities Services Regulatory Compliance, VP Resume Examples & Samples

Supporting all regulatory compliance matters related to Securities Services
Identifying risks and continuous review of existing compliance frameworks
Interacting with regulators and working closely with internal stakeholders within Securities Services
Have strong experience in regulatory compliance
Have good knowledge in trustee or custody
Have excellent communication and stakeholder management skills

115

Regulatory Compliance, Private Banking Resume Examples & Samples

Proven exposure in compliance assurance and controls
Experience in implementing new Policies
General understanding of global laws and regulations

116

Regulatory Compliance Consultant Resume Examples & Samples

Complete compliance program testing covering various compliance topics for financial institution clients
Assist in discussing findings from compliance testing with engagement team members and clients and preparing reports and recommendations
Work with clients and other FIG staff to determine engagement/relationship objectives, develop appropriate budgets, and assist in coordinating resources to meet the objective
Develop an understanding of the client’s business activities, controls, processes, and associated risks
Accountability for the timely completion of fieldwork
Work with other Managers, Engagement Directors, and clients to address audit, accounting, and compliance issues that may arise
Keep abreast of the latest banking industry and compliance developments through self-education
Provide ongoing technical assistance support to clients and anticipate and address client issues
Assist in the oversight and completion of other engagements/special projects or duties as assigned

117

Regulatory Compliance Consultant Resume Examples & Samples

Review of mortgage loan documentation to assess compliance to consumer financial protection regulations including, Truth in Lending Act, Real Estate Settlement and Procedures Act, and other applicable federal and state regulations
Monitoring of federal laws and consumer disclosure regulations for all 50 states
Use of software programs to test accuracy of consumer disclosures
Opportunity to publish articles in the company’s newsletter Compliance Monitor
Opportunity to work on-site for clients in Massachusetts and elsewhere

118

Bank Regulatory Compliance Professional Resume Examples & Samples

Effectively work and communicate with clients in the banking industry to ensure compliance processes and operations meet required regulations
Conduct consultative collaboration sessions and/or discussions with key leaders within the client company in order to respond to regulatory examination issues, correct compliance deficiencies and review internal compliance processes and controls
Understand and keep current with banking compliance regulations trends or issues in order to recommend and/or develop processes and procedures to implement changes to better serve the client
Prepare and assist client companies with compliance testing and training on bank regulatory issues
Attend professional development, networking events and training seminars on a regular basis
Prepare and review documents within a bank setting
Reconcile information to control accounts
Request and collect appropriate information to diagnose and solve client business issues
Coordinate various activities to meet client needs within a specified time frame
Understand and apply work procedures and effectively tailor plans as necessary

119

ERS Business Risk Corporate Governance Senior Manager Corporate Governance & Business & Regulatory Compliance Resume Examples & Samples

Expertise - Collaborate with other team members and lead on field delivery which would involve high level of interaction with senior client(s), team members
Solutions - Define and deliver on-site technical engagements with partners and clients. This includes participating in pre-sales on-site visits, understanding customer needs and requirements, and proposing and delivering tailored offerings
Delivery - Engagements include short on-site projects, involving as-is assessment, development of Corporate Governance frameworks and recommendation implementable solutions
Familiarity with industry compliance and corporate governance codes and standards
Experience advising clients on meeting industry and leading practices standards and frameworks
Deep understanding of corporate governance methods and techniques to drive successful outcomes
Notable customer experience and collaboration skills
8+ years experience, with evidence Implementation experience with enterprise governance, risk, and compliance software packages
Demonstrated ability to think strategically about business, product, and technical challenges
Highly technical and analytical
Experience building enterprise governance, risk, and compliance programs or driving the program's evolution to meet new requirements
Strong verbal and written communications skills and ability to lead effectively across organizations

120

Director of Regulatory Compliance Consulting AML & BSA Resume Examples & Samples

Participate in growth activities for Risk Advisory Service offerings with specific emphasis on BSA and AML within the regulatory compliance services framework. Promote cross selling and integration of service lines of business
Work individually and as part of a team to provide project execution on client engagements
Use proven tools and techniques to execute project deliverables in a manner congruent with our client's business objectives
Manage engagement fundamentals (e.g., realization, utilization, leverage, accounts receivable, and expenses)
Mentor, coach, and train staff and attract, develop, and retain talent
Heighten the RSM brand by demonstrating thought leadership and embracing the RSM marketing campaign and programs supported by the firm
Application of Anti-Money Laundering (AML) and Bank Secrecy Act (BSA ) regulatory compliance expertise in a consulting, financial institution, or regulatory environment
10 + years' experience with federal regulatory compliance laws and regulations in a financial institution, regulatory agency, or consulting capacity
Excellent verbal, written, and interpersonal communication skills
Practice development and management, marketing, and thought leadership
Significant experience in managing client relationships and leveraging them into new business advisory opportunities
Professional certification such as CRCM or CAMS
Ability to travel 35% of the time

121

Regulatory Compliance Senior Resume Examples & Samples

Monitoring and reporting Bank compliance with all applicable federal and state regulations
Performs all regulatory compliance audits within a defined annual audit plan
Develops and maintains compliance audit programs and defines scope of reviews
Prepares and maintains audit documentation and work-papers
Conducts analysis of audit findings to draw logical conclusions
Writes formal audit reports directed toward those audited, Senior Management, and the Audit Committee
Conducts appropriate follow-up with those audited to resolve audit findings
Coordinates and manages the regulatory compliance audit process
Develops and implements an annual risk based compliance audit plan, including scope determination, audit planning memos and reports
Plans, schedules and conducts each audit, per schedule, to ensure that all activities conform to established audit procedures
Uses audit programs as guides and initiates additional audit steps where deemed appropriate
Reviews compliance related policies and procedures for compliance with regulatory requirements and sound practices
Prepares detailed report of violations to federal and/or state regulations and other compliance audit findings, presenting any irregularities or exceptions to Senior Management and/or the Audit Committee
Makes recommendations for corrective action
Reviews responses from the auditee for audit reports to determine whether appropriate action has been taken
Monitor implementation of needed corrective action
Report, at least quarterly, to the Audit Committee of the Board of Directors on current quarterly audit results, any findings, corrective actions and status of prior open issues
Analyzes the audit programs for effectiveness, recommending changes and improvements as appropriate
Conducts any special audits as assigned by the Risk Manager
Discusses with the Risk Manager any changes to scope of audits performed, significant findings noted as the audit progresses and conclusions and recommendations as audits are finalized
Maintains appropriate records and provides assigned reports
Perform all duties in compliance with the Bank’s policies regarding Equal Employment Opportunity, Code of Conduct and the appropriate use of email, the Internet and any other technology tools as well as the Bank Secrecy Act (BSA) and Bank Protection Act (BPA) regulations

122

Corporate Regulatory Compliance Resume Examples & Samples

The position ofCorporate Regulatory Compliance will be the primary resource for the FDA, USDA, State and local information requests and regulatory program management issues. Also will be the lead liaison between plant, regulatory agencies, and legal. This position will represent Kraft on selected trade association working groups and committees, and must keep current, changing regulatory environment and provide updates to the Kraft Quality Leadership team. Position will work with the BU’s to resolve customer/consumer and internal issues as related to regulatory compliance topics, while providing training and regulatory inspection trend awareness and preparedness to all stakeholders lead a team that ensures effective implementation and execution of the Kraft Heinz Supplier Quality Management System across an assigned product category. The position provides visible quality leadership ensuring that KFG supplier quality standards are understood and met through on-site assessments. This position also ensures that best practices are replicated across the category. This position requires travel up to 70%
Understanding of corporate regulatory strategy and BU business priorities
Ability to asses risk and assign priority to manage business needs and regulatory requests
Understanding of product/package development, manufacturing conversion, logistics operations, procurement, commercialization, and regulatory/health authorities
Understanding objectives of categories and overarching business
This role requires a BS degree in a science or related field with exposure to food science/engineering or microbiology
This role requires an understanding of food safety, sanitation/GMP principles and regulatory
Strong leadership, communication, and presentation skills
This position is core to a career in food manufacturing providing exposure to quality systems, food safety management, sanitation programs, and regulatory compliance
A highly effective Compliance Manager will build Manager level leadership skills in the areas of Managerial Courage and Negotiating

123

Anti-money Laundering Regulatory Compliance Management Control Testing Manager Resume Examples & Samples

Maintain current, detailed knowledge of BSA/AML requirements, banking regulations and directives of the U.S.-AML Office
Bachelor’s degree preferably in focal areas of finance, economics, or an accounting related field
Relevant experience in professional risk management, compliance, accounting or auditing in banking or financial services
AML and risk control subject matter expertise in the context of broader disciplines such as Criminal Justice, Homeland Security, Intelligence Operations and practical application
Institutional knowledge of products and services as well as business unit policies and objectives
Knowledge of AML Banking Compliance, including transaction monitoring and banking product risk
Knowledge of corporate banking regulations and law
Knowledge of AML gaps
Knowledge of credit analysis, credit management or treasury management

124

Senior Analyst Regulatory Compliance Chief & Risk Administration Office Resume Examples & Samples

Provides highly professional, competent and skilled service to the RC COO/COS function
The jobholder is required to think proactively and use initiative to finding solutions to problems
The jobholder is expected to deliver a high performance
Ability to distil complex and varied data into information; good process analysis and problem solving skills
Attention to detail and ability to ensure that information is captured in a timely manner
Ability to adopt a tailored and effective communication style to varying levels of management
Excellent Excel, Powerpoint with focus on spreadsheet modelling and presentation
The ability to quickly understand customer requirements and concerns and deliver a quality result to them
Delivery-focused to ensure tasks are completed on time and to a level of quality
Proven ability to prioritize workload effectively in line with business priorities
‘Can Do’ attitude. Willing to turn a hand to whatever task is required
Willingness to own work and problems and see through to completion and to use own initiative to resolve issues
Ability to work with minimal supervision and a flexible approach to working hours and responsibilities
Self-motivation, and a proven rapid learning capability in a changing environment are essential
University graduate, preferably with a background in Accounting, Finance, Compliance or Risk

125

Senior Counsel, Regulatory Compliance Resume Examples & Samples

Advising and influencing risk management and resourcing
Leading and guiding internal investigations regarding ABC and AML issues
Developing risk management strategies and collaboratively implementing them
Providing practical advice on day-to-day compliance questions
Improving policies, procedures, tools, training and resources
Being a trusted advisor to senior business people at BP

126

Regulatory Compliance Support, Manager Resume Examples & Samples

MBA or Master’s Degree in related discipline
Knowledge of relevant California and Federal regulatory programs
Familiarity with regulatory compliance concepts
Familiarity with risk/compliance management concepts
Experience managing or building a compliance program
Ability to influence business leadership and management decisions
Ability to influence and work with and across all levels within the business
Strong written and oral communication skills
Strong knowledge of the Utility industry
The RCS Manager is principally responsible for managing Compliance and Ethics’ interface with other departments regarding PG&E’s compliance programs, including the Session D process, the Guidance Document Management program, and line of business (LOB) compliance support
In this role, the successful candidate will manage a team to provide strategic guidance and coaching to compliance risk owners to develop, implement and monitor appropriate risk mitigation activities, controls and alternatives analyses; provide subject-matter expertise and coaching related to compliance management; develop compliance program strategies, templates and direction; and drive continuous improvement in the enterprise compliance program
The RCS Manager will communicate regularly with PG&E senior management and key stakeholders; promote innovation for solutions that benefit stakeholders; provide leadership to support the company’s compliance programs; and manage and drive innovative and new thinking focused on program strategy, controls development, compliance risk analysis and mitigation and implementation

127

Regulatory Compliance Support, Senior Analyst Resume Examples & Samples

Bachelor’s degree in any of Management, Risk, Compliance, Business, Accounting, Finance, Behavioral Sciences or related discipline or equivalent experience
Minimum of five years of experience in risk or compliance management, utility operations or related field
Advanced research and issue resolution skills
Able to present analysis and evaluation results and output in a cohesive, understandable and actionable format to department management
Understands programs, policy and compliance requirements and able to advise on business impacts
Ability to identify and assess compliance and business risk
Ability to solicit and integrate information from a variety of sources
Strong client focus
Comfortable with ambiguity and making educated and informed recommendations based on minimal data
The RCS Senior Analyst is principally responsible for supporting Compliance and Ethics’ interface with other departments regarding PG&E’s compliance programs, including the Session D process, the Guidance Document Management program, and line of business (LOB) compliance support
In this role, the successful candidate will support a team that provides strategic guidance and coaching to LOBs and compliance risk owners; assist in the implementation and monitoring of appropriate risk mitigation activities, controls and analyses; assist in the development of tools and templates; and help drive continuous improvement in PGE’s compliance program
The RCS Senior Analyst will communicate regularly with PG&E compliance management and key stakeholders, and support the promotion of innovation for solutions that benefit stakeholders, as well as support the company’s compliance programs

128

Regulatory Compliance Support, Expert Analyst Resume Examples & Samples

MBA or Master's degree in related discipline
Able to present complex data and findings to internal audiences (including Managers, Directors and VP’s across the company) in a cohesive, understandable and actionable format to department management
Applies demonstrated knowledge and skill to resolve complex problems
Ability to use proper analytical techniques to breakdown and solve complex problems
Able to develop complex as is and to be process maps for risk and compliance processes and complex controls frameworks
Ability to address complex strategic issues and take a broad perspective to identify innovative solutions
Ability to identify and implement program and process improvement opportunities
Ability to provide feedback and coach peers and leaders on risk and compliance issues
Works independently, with guidance only needed on the most complex issues
The RCS Expert Analyst is principally responsible for assisting Compliance and Ethics’ interface with other departments regarding PG&E’s compliance programs, including the Session D process, the Guidance Document Management program, and line of business (LOB) compliance support
In this role, the successful candidate will be a part of a team that provides strategic guidance and coaching to LOBs and compliance risk owners; assists in the implementation and monitoring of appropriate risk mitigation activities, controls and analyses; assists in the development of tools and templates; and helps drive continuous improvement in PGE’s compliance program
The RCS Expert Analyst will communicate regularly with PG&E compliance management and key stakeholders, and support the promotion of innovation for solutions that benefit stakeholders, as well as support the company’s compliance programs

129

Senior Regulatory Compliance Risk Analyst Resume Examples & Samples

Demonstrates a high degree of professionalism at all times
Escalates matters to senior management as needed
Communicates effectively and professionally, and conveys the key information needed to ensure compliance goals are met
Helps ensure positive and professional working relationships with internal and external stakeholders (measured by stakeholder feedback)
Maintains strong and proactive relationship with Compliance function colleagues and regulators (measured by stakeholder feedback)
Provides effective advice, guidance, and support to business lines, support areas, operations, on accurate identification and measurement of risk
Delivers reports to the HNAH Board of Directors and Senior Management in quality manner and within required timelines
Exhibits strong desire to assist management in ensuring business practices evolve towards best in industry (measured by stakeholder feedback)
Leads by example, fosters a positive work environment (as assessed by supervisor)
Exhibits knowledge of emerging compliance-related trends and industry practices that enhance the overall team quality and performance
Influences the compliance culture in a positive fashion (measured by direct manager’s assessment)
Ensures proper engagement with areas supported to respond to any audit or regulatory review-related matters or inquiries in a timely manner
Ensures that all deliverables for reviews, analyses, and regular reporting are consistently met in a quality manner
Analyses and recommendations are of high quality (measured by direct manager’s assessment)
High quality completion of assigned projects and initiatives according to agreed timelines
Identify material risks via the CDSA and ERA process
Minimum of 3-5 years proven and progressive financial services operations, compliance and/or legal management experience, or equivalent
Bachelor's degree in business, related field or equivalent experience; Master's degree preferred
Well-developed communications, negotiation, analytical, organizational, project management, and strategic and/or operational planning skills

130

Analyst Government Reporting Regulatory Compliance Assurance Resume Examples & Samples

Strong analytical, interpersonal, organizational, problem solving, project management and planning skills
Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments timely
Ability to plan, organize and prioritize effectively
Highly proficient in Excel, PowerPoint and Word
Preferably, experience in analyzing, developing and producing reports and/or MI
Experience of successfully providing solutions to day-to-day challenges to the operational effectiveness and efficiency of a centralized function
Lateral thinking and ability to solve problems within a complex environment

131

Regulatory & Compliance Lead-loyalty Operations Resume Examples & Samples

Eight to ten years of experience as a Product Manager
Four or more years of management experience
Excellent interpersonal, verbal and written communications skills
PC proficiency utilizing a variety of software packages including Microsoft Word, Excel, Powerpoint, Access, etc
Strong organizational and analytical skills with detail orientation
Ability to manage multiple efforts in a fast paced environment
Ability to deploy critical thinking for the purpose of problem solving

132

Consultant, Regulatory Compliance Resume Examples & Samples

3-5+ years of experience in securities and/or working with a Broker/Dealer that directly aligns with the specific responsibilities for this position
Educational experience and/or proficiency in securities industry rules, regulations and broker/dealer & investment advisor functions with insurance-affiliated broker/dealer experience preferred
FINRA Series 7 Required
FINRA Series 24 preferred, or must obtain within 60 days of start date
Proficiency in Microsoft Office Suite (Outlook, Word, Excel, PowerPoint)
Possesses a bias for action and avoids workplace distractions
Drives performance targets to completion

133

Regulatory Compliance Resume Examples & Samples

Working experience in audit, compliance, or operational risk (>8 years)
Working knowledge of CIB business processes and operations
Strong verbal & written communication
Strong analytics
Self motivated and delivery oriented

134

Lending & Operational Regulatory Compliance Auditor Resume Examples & Samples

Perform internal audits for banking clients with primary emphasis in the lending compliance area
Review and assess the adequacy of client's internal controls, policy and procedures and ability to meet regulatory compliance requirements relative to the consumer lending products
Produce reports that include findings and recommendations for improvement derived from the internal audits

135

Regulatory Compliance Leader Resume Examples & Samples

US EPA and US States Federal Insecticide, Fungicide, Rodenticide Act (FIFRA) Biocide Registrations
Canada Pesticide Management Regulatory Agency (PMRA) Registration
Mexico Cicoplafest for pesticides, fertilizers and toxic substances
Other International Pesticide registration requirements
NSF Standard 60 Certification for Potable Water Application
US Food and Drug Administration (FDA) Compliance with applicable sections
US Department of Agriculture self-certification for meat poultry and egg production
Health Canada/Canadian Food Inspection Agency (CFIA) certification
NSF White Paper Certification, International Food Safety
Kosher Certification of products and facilities
Organic food and culinary steam certifications
Proven ability to problem solve and close gaps
Rigorous work ethic
Strong desire to exceed
Mental agility
Ability to deal with ambiguity
Strong experience leading cross-functionally
Knowledge of product compliance audit processes
Strong understanding of how to deliver effective training
4 year degree required, preferably in Chemical Engineering or Chemistry
Minimum of 5 years’ experience in regulatory compliance in the Chemical Industry or for Chemicals
Bilingual with strong English, including speaking, reading and writing
Public company background preferred
International experience a plus

136

Regulatory Compliance Practical Engineer Resume Examples & Samples

Execute pre-compliance & compliance tests at in-house EMC & Safety test facilities. Provide feedback on product performance and recommended remedies to any non-compliances
Writing test reports following EMC & Safety testing performed at in-house and 3rd party labs
Capable of analyzing schematics and calculation summaries
Capable of interfacing with various levels of the organization
Capable of developing well-organized documentation related to testing and evaluations
Willing to travel to vendors, labs, or customer sites to provide on-site testing, oversight, and support
Ability to work multiple tasks simultaneously
Demonstrated ability to work without boundaries to accomplish critical tasks

137

Associate, Regulatory Compliance SQM Resume Examples & Samples

Perform periodic supplier written assessments. Recommend action plans to qualify/disqualify suppliers as necessary
Review and follow up on supplier questionnaires that are sent to current, or potential, material suppliers, and GxP service providers and assess all aspects of material production or services provided
Support SQM site/product launch activity as assigned. Ensure that Corporate SQM requirements are adhered to and that business goals/product launch priorities are met on all assigned projects
Conduct supplier audits (desk or onsite)
Represent Global Reg Compliance SQM interests/positions for specific, assigned product launch activities
Maintain Global Reg Compliance SQM and audit files by ensuring files and/or databases are current
Maintain the Global 'approved supplier' list, including all associated data
Negotiate quality agreements, seeking both Management and Legal advise/support as needed
Support activities related to internal/external compliance audits related to suppliers, report generation and responses of audited departments
In conjunction with purchasing department/distributors, interact and follow up with suppliers to ensure timeliness of implementing corrective and preventive action(s)
Maintain a current working knowledge of government and industry quality assurance, trends, codes and standards
Work with planning/operations management to ensure raw material/component changes are in compliance with FDA and other regulatory agency requirements to meet the Global SQM program requirements and business priorities
Respond to GMP-related questions on raw materials/components and advises proper direction
Assess test attributes and specifications of raw material/component acceptance criteria; identify trends in critical material properties and recommend preventive actions to prevent potential issues with material/supply quality or other problems
5+ years’ experience in pharmaceutical industry required
5-8 years of experience in: Knowledge of FDA cGMP as described in 21 CFR Parts 11, 210 and 211, as well as applicable FDA and ICH Guidelines required
0-2 years of experience in DEA, Clinical and Pharmaceutical Manufacturing experience is preferred
2-5 years of experience in Intermediate proficiency in use and knowledge of computer systems, applications and databases (i.e., MS Word/Excel/Access) preferred
0-2 years of experience in Working knowledge and experience with ERP enterprise software such as SAP is preferred
0-2 years of experience in FDA/partner inspections is preferred

138

Temp-regulatory Compliance Associate Resume Examples & Samples

Assist with periodic regulatory compliance checklist reviews across all programs
Assist with the clinical drug release process and provide proactive review and improvement of regulatory department processes
Assist with Regulatory department inspection readiness activities (including eTMF uploads of IND/CTA/CMC study approvals) and support department in advance of QA audits
Assist with USAN and WHO/INN applications
Assist in tracking Post-Marketing Commitments (PMC)/Post Marketing Requirements
Support department Financial Disclosure deliverables for regulatory filings

139

Regulatory Compliance Generalist Resume Examples & Samples

Lead cross-functional initiatives across Biotechnology, Breeding, Chemistry, Regulatory, Supply Chain and Commercial organizations to develop strategies to support regulated testing plans for new products and secure required federal and/or state regulatory agency approvals in support of those activities
Provide leadership to the Regulatory Incident Management Program and support the cross-functional U.S. Compliance Committee to establish and implement policies and procedures related to ensuring compliance
Lead continuous improvement efforts with various IT stakeholders to automate current processes, evaluate and implement strategies needed to meet future IT needs
Develop and implement procedures, outreach and training programs, audit plans, and other necessary processes to drive continuous improvements to the compliance program
Organize and manage compliance data related to federal and/or state regulatory authorities, as appropriate
Minimum of Bachelors degree (or higher) in a scientific or technical discipline (Agronomy, Biology, Chemistry, Molecular Biology, or a related field)
Minimum of three or more years of work experience in a scientific or technical discipline (Agronomy, Biology, Chemistry, Molecular Biology, or a related field)
Knowledge of U.S. regulations specific to either biotech, plant protection/quarantine or chemistry field trial compliance and general knowledge of related industry standards
Experience working within a regulated environment or Quality Management System such as ISO 9001 or GxPs
Excellent communication (both written and oral) and influence skills with the ability to adapt communication style and content to influence leadership and facilitate interaction with a diverse audience
Ability to gather and interpret relevant technical information in order to present conclusions in a clear and concise manner
Ability to travel up to 10% of the time
Experience developing and implementing compliance programs, quality management and/or audit systems within and across multiple organizations, preferably within an agricultural research or production environment
Two or more years of plant biotechnology/chemistry/biologics field trial experience in a regulated environment
Knowledge of compliance IT systems
Experience working cross functionally
Demonstrated communication, influence and critical thinking skills in a team environment and ability to work within the team and across functions to achieve desired results

140

Regulatory Compliance Associate Resume Examples & Samples

Entry level evaluation of orders against US export regulations and Tech Data internal policy
Basic evaluation of new prospective customers against published denied parties lists (DPL/RPL)
Generate and distribute Denied Party List metrics for all screened US and Canada customer accounts
Coordinate freight forwarder (FF) approval requests and associated documentation
Facilitate monthly regulatory compliance operational volume reports to management
Perform market and vendor assignment review according to supplier distribution agreements
Generate and distribute commercial invoices as required by internal and external customers
Perform data entry, management and tracking functions on import and export process outputs
Provide general internal and external customer service and support compliance team initiatives and projects
Facilitate requests for order or product information and supporting documents as advised by supervisor
Support after hour coverage to Logistics Centers and LA sales teams
Performs other duties and assigned by supervisor
Able to execute oral and written instructions and to request clarification when needed
Able to identify areas of risk/concern in area of responsibility
Able to prepare/analyze appropriate reports and other business correspondence
Able to answer phone and greet public in a friendly and courteous manner
Able to build solid, effective working relationships with others
Able to express ideas clearly and convey necessary information
Able to use relevant computer system applications (which may include spreadsheets, word Processors, databases, etc.) at an intermediate level
Experience operating under medium supervision within established guidelines, able to identify risk and escalate appropriately
Working knowledge of data analysis and reporting techniques and methodology
Exposure to corporate regulatory concepts such as Export/Import Compliance or operations, other governmental agency requirements (FDA, FCC, etc.) ; Sarbanes Oxley or Internal Audit
Experience with process oriented concepts such as flow charts and process mapping
Medium to High level of interpersonal skills and customer service skills required. Able to build solid, effective working relationships with cross functional and cross geographical internal and external teams. Able to express ideas clearly and convey necessary information and to identify and present issues and recommendations to supervisor and team
Proactive towards regular job duties and procedural efficiency. Ability to prioritize and/or organize against shifting responsibilities. Some problem solving. Basic evaluation and conclusion skills based on regulatory reasoning and practical application of regulations. Some complexity of mental process to achieve in the role in order to come to solutions
Occasional non-standard work hours or overtime as business requires
Professional, office environment

141

QA Specialist / Regulatory Compliance Resume Examples & Samples

Approx. 2 years of professional experience in similar position in pharmaceutical industry
Knowledge of current worldwide regulations and guidelines
Practical experience in regulatory activities

142

Regulatory Compliance Engineer Resume Examples & Samples

Responsible for implementation of applicable regulations, standards and global market requirements for electromagnetic compatibility, energy, acoustics, safety, security, accessibility, and/or environmental features relevant to design and fulfillment of Products/Solutions
Assists in identification of regulatory and market access requirements; and provide End to End (E2E) Product Life Cycle management solutions to meet our global Regulatory Country Ship to List (CStL)
Provides guidance to design teams, ODMs, Suppliers, 3rd Party Labs, and OEM partners in resolving issues that may arise during the review and evaluation of platform solutions by the various regulatory agencies
Assures that all platforms and solutions are compliant with worldwide regulatory emissions, safety and environmental regulatory agency requirements, specifications and policies
Prepares schedules, statements of work and functional plans necessary to obtain required regulatory approvals for products
Works with various Dell & Supplier factory regulatory teams and variations (Non-Compliances), as needed, to prevent factory shutdowns
Works with legal department, as needed, in performing analysis on field incidents, and preparing statements and recommendations that may be provided to Dell customers and/or Government Agencies
8-10 years of relevant experience or equivalent combination of education and work experience in project or regulatory management
Educational qualifications in Industry Engineering or Electronic Engineering would be an advantage
Knowledge of industry and business principles and places issues in context of organizational and functional objectives
In-depth customer knowledge to provide appropriate solutions
Ability to apply analytical skills to evaluate and interpret complex situations/ problems using multiple sources of information

143

Senior Regulatory Compliance Advisor Resume Examples & Samples

Establishes and maintains compliance standards by maintaining current compliance manuals. Professional standards will be maintained by ensuring that each management/employees are kept informed of changes on a timely basis
Maintains a program of periodic visits to FTN offices to audit records and ensure compliance with the laws and regulations involving import and export of goods. When noncompliance is found, works with managers to develop methods to bring the office into compliance
Provides guidance to management/employees when dealing with difficult questions of law and policy with regard to government agency requirements. Maintain libraries and reference materials for FTN
Coordinates regulatory compliance legal issues by obtaining legal assistance from FTN legal and/or outside attorneys, as needed
Identifies major regulatory changes. Analyzes and communicates the regulatory changes to the organization and its customers
Represents management and customer interests to various industrial associations, customs, and other gov't agencies
Assists in the restricted commodities approval process
The incumbent(s) of this position is expected to perform all other related duties as assigned
This position will either be located in an FTN California Office or Miami Office

144

Power Generation Regulatory Compliance Practice Leader Resume Examples & Samples

Possesses & maintains a deep understanding of how clients perceive their technical problems; and have the ability to package HDR Business Class expertise as solutions to these problems. In turn, support Client Development Leadership in crafting client capture plan strategies
Track and monitor status of current and upcoming power plant related regulatory changes. Lead strategic planning for proactive approach to staying ahead of coming regulations and position HDR to be a leader in the market and in thought leadership
Provides hands-on mentoring and team participation to create a bridge between Business Class technical resources and client requirements -- acts as the customizing advisor to “configure” HDR resources in a manner expected by specific clients. Mentors HDR staff and Practice Groups in the nuances of client organizations
Identifies and develops opportunities to expand services to clients. Coordinate internally to identify and engage qualified resources to support pursuits and project teams
Champion a quality and safety-culture within the Sector organization, and within production teams serving the Sector’s clients
Client Manager for select clients
Manage key projects or programs associated with power generation regulatory compliance
Lead risk management activities for both contract reviews and project deliverables. Participate in project quality reviews to maintain consistency across programs and specific project teams
Direct the technical messaging; and the professional attendance, at professional organizations and industry events
Support technical leadership to identify and develop strategies for world class services
Work with Sector Director, Regional Business Group Director and Power Generation Practice Leader to establish direction and growth strategies for the Practice, including strategic hires, acquisitions and emerging opportunities of a national scale
Work with Sector Director and operations personnel to establish bookings and NFE goals and strategies, by department, during annual budgeting process
Work with Client Development Leadership to prioritize the marketing & business development efforts of the organization to prioritize business efforts that provide maximum return on investment
Bachelor's degree in Engineering or in related field
10+ years project and program management-related experience in appropriate discipline
Professional registration desired
Candidate should have excellent marketing and business development skills in addition to contacts/relationships in respective discipline
Previous experience managing staff, clients and contracts, and hiring staff for an engineering consulting firm, is desired

145

Regulatory Compliance Coordinator Resume Examples & Samples

Responsible for all company activities related to controlled substances and listed chemicals, including record keeping, reporting, reconciliation, acquisition, storage, distribution, importing, and exporting
Responsible for providing support to clients regarding project level inquiries
Maintain precise inventory of controlled substances
Preparation of Import/Export Permit Applications & Declarations for DEA
Support reporting of Automation of Reports and Consolidated Order Systems (ARCOS) & Year End Reporting System (YERS) to the DEA
Support reporting to other regulatory bodies for controlled substance activity as appropriate
Ensure areas meet regulatory requirements
Prepare quota applications
Perform Quota calculations and assist with Quota increase requests to the DEA
Preparation of DEA 222 Forms for purchases and shipments of Schedule I & II materials
Respond to and track client complaints
Support activities related to the TrackWise System
Support client and government audits
Contribute to revision and creation of SOPs
Audit for compliance as pertains to Catalent SOPs and regulatory requirements
Support Corporate and local Quality policies and initiatives
Support compliance for USDA, HHS, state, & foreign regulatory bodies
Other tasks as assigned
Knowledge of relevant cGMPs and DEA Regulations
Capable of quickly learning various software systems including ERP systems
Excellent communication, organizational and writing skills
Working knowledge in MS Word, Excel and other MS Office components
Results oriented
Ability to work under pressure with multiple tasks and deadlines
Must be a self-starter, be able to work independently and have the ability to multi-task under strict deadlines
Prior experience working in Quality Assurance/Regulatory Compliance

146

Associate General Counsel Regulatory Compliance Resume Examples & Samples

Advise all Dynavax organizations on regulatory and compliance strategy and matters. This will include commercial, research and development, medical affairs, regulatory and other functions
Review and make recommendations concerning the existing compliance program and supervise its continued growth
Serve as lead counsel on the company’s cross-functional product Brand Team
Function independently as primary reviewer and advisor regarding consulting and vendor contracts and agreements to ensure terms and conditions are in compliance with local, state, and federal regulations, and safeguard the company’s interests as they do so
Provide legal support across the organization, including identifying practical solutions that balance the risk/benefit for the company
Support the organization in maintaining a work environment that is focused on quality and fosters learning, respect, open communication, collaboration, integration and teamwork
Must have a J.D. and be a member in good standing of one state bar (California preferred)
At least 3 to 5 years of foundational training as an attorney at a prominent law firm, ideally working with healthcare or biotech clients
A total of at least 8 years of regulatory and compliance experience, including experience in the biopharmaceutical or medical device industry
Strong knowledge of the healthcare regulatory landscape (especially FDA compliance) and the ability to implement and monitor compliance programs
Experience reviewing and negotiating complex agreements, including licensing, supplier and partnership agreements, especially in a healthcare context
A history of work with a launched product for which they have become the brand lawyer, or sufficient related experience to fulfill the responsibilities of that role
Must be a team player in the truest sense of the phrase; someone who is solutions-oriented and collaborative, able to roll up their sleeves and work effectively with business and legal colleagues
A willingness to “do the doing” with respect to matters like contract review and negotiation rather than simply managing others
Ability to work quickly—at the speed of a growth company—and balance multiple competing priorities efficiently
A demonstrated history of researching laws and industry standards and supporting the implementation of new policies across departments
Exceptional written, interpersonal and communication skills
Ability to lead as well as collaborate, and function well in a team environment
Must be able to work effectively with (and influence) functional units at all levels in the organization as well external parties
Sound judgment and excellent decision-making skills

147

Global Banking & Markets Regulatory Compliance Advisory Resume Examples & Samples

Ten years+ in the banking and/or securities industry experience, at least three years of which should be with a GBM (investment banking) business focus
An understanding of all significant regulatory compliance requirements applicable to B&CF businesses and typical policies such as Control of Information/Chinese Walls, Insiders Management/Wall-Crossings, Conflicts Management and Clearance, Allocation and Price Stabilization procedures
Experience of working within a matrix environment preferred

148

Associate, Regulatory Compliance Resume Examples & Samples

Participate and lead components of financial analyses and financial projections associated with hospital initiatives including facility expansion, joint ventures, and clinical service line development
Research, data collection and analysis, and preparation of summary presentations
Perform analysis of healthcare demographic databases and healthcare demand
Execute analysis of historical trends in clients’ financial performance, assess financial projection assumptions, and prepare financial projections
Prepare client discussion documents and write reports
Two years of experience in the public, government and/or healthcare industry performing financial analyses and preparing financial projections with a strong understanding of healthcare financial reporting and performance metrics
Bachelor’s degree in a related field from an accredited college/university
Extensive experience working with Excel, Word, PowerPoint, and other data analysis tools
Experience with auditing or preparing Medicare or Medicaid Cost Reports and knowledge of the Medicaid and Medicare programs is preferred
Experience with the Centers for Medicare and Medicaid Services Final Rule, 42 CFR Parts 447 and 455, for Medicaid Program; Disproportionate Share Hospital Payments experience is preferred
Commitment to delivering quality services on a timely basis

149

Quality & Regulatory Compliance Leader Resume Examples & Samples

Lead maintenance and improvement of a global business-wide quality management system that aligns to both automotive and aerospace standards, meets customer and regulatory requirements and creates a competitive business advantage in the Automotive and Aerospace areas which we serve
Develop product quality management strategies to enhance design understanding and manufacturing consistency and control. Lead business product quality assurance activities in the areas of product development, commercialization, and change management
Ensure product portfolio maintains applicable product quality standards given internal product changes and external standard development and implementation
Lead the Quality functions at plant sites falling under the Aearo Technologies LLC responsibility, including direct reporting, objective setting, quality management deployment and product quality assurance and control practices
Create and implement global quality and regulatory strategies. These strategies need to be aligned to global regulations, customer requirements and the business strategic plan
Serve as the Management Representative and sit on the Management Operating Committee for Aearo Technologies LLC
Lead contractual negotiations for quality agreements with Automotive and Aerospace Quality and Regulatory Senior Leaders
Implement strategies to achieve best practice 3M corporate quality goals on a global basis within the Aearo Technologies LLC business
Maintain and expand in-depth knowledge of global quality & regulatory requirements and through external training and industry networking
Develop solutions for highly complex and multi-faceted problems, which require ingenuity, creativity, innovation, and strong analytical skills
Take initiative to proactively encourage cross-functional support and relationships to more effectively implement programs and process in support of meeting the division’s plans and objectives
These objectives must be accomplished through adept utilization of the Aearo Technologies and 3M matrix
Bachelor’s degree or higher in a Science, Engineering or Business discipline from an accredited institution
Minimum of five (5) years of combined experience in Quality or Quality Management Systems working in a regulated industry
Master’s degree or higher in a Science or Management discipline from an accredited institution
Minimum three (3) years of experience working in a Quality leadership position within a regulated business
Knowledge of International Organization for Standardization (ISO) 9001, ISO/Technical Standard (TS) 16949 and Aerospace Standard (AS) 9100
Certification(s) or willingness to obtain American Society for Quality
Certified Manager of Quality/Organizational Excellence (CMQ/OE) and/or
Certified Quality Auditor (CQA)
Demonstrated ability to work and lead global cross-functional teams
Experience leading a global quality organization with a significant number of direct reports
History of contributions to a staff on quality and regulatory issues on a global basis
Demonstrated ability to lead, motivate, influence and coach personnel on the planning and execution of programs leading to the achievement of the division’s plans and objectives
Demonstrated ability to develop, implement and improve Quality and Regulatory business processes which improve the efficiency and effectiveness of the unit in order to achieve its plans and objectives
Demonstrated ability to work and lead in a cross functional environment including subsidiaries to lead large change initiatives, implement key programs or processes. Also, has the ability to work successfully with customers, industry peers and regulatory agencies
Demonstrated ability to oversee and implement Automotive and Aerospace quality management systems
Excellent communications skills (oral, written and presentation) with the ability to influence at all levels

150

Quality Improvement Regulatory & Compliance Resume Examples & Samples

Participation in the training and on-going education of the Medical Management staff
Collaboration with the Director and Regional Directors of Population and Personal Health Management on quality issues
Acting as a resource to Team Leaders and Medical Management Nurses for quality processes, compliance with federal and state regulations, and compliance with the standards of IMMS accreditation bodies
Identification of improvement needs and implementation of related new or revised processes
Participation in the processes necessary for compliance with federal and state regulations and with the standards of IMMS accreditation bodies
Participation in the state Utilization Review licensing process
Participation in the registered nurse licensing process
Bachelor’s degree in Nursing (BSN) with current RN license,
Eligibility for unrestricted professional licenses in all states,
Certification in Case Management,
A minimum of 5 years clinical nursing experience,
A minimum of 3 years experience in the delivery of Medical Management Services,
A minimum of 2 years supervisory/management experience in Medical Management Services, and
A minimum of 3 years Quality Management experience in Medical Management Services

151

Senior Regulatory Compliance Consultant Resume Examples & Samples

Develop and maintain education, policies and procedures, and monitor compliance for billing and/or charge capture
Monitor, assess, and mitigate key risks related to billing and charge capture requirements
Develop and maintain Corporate Standard Drug Chargemaster and associated tools including Drug Multiplier functionality, MCR OPPS and TRICARE OPPS payer tables and MAC SAD lists
Develop and maintain Master Files for NDC/Drug waste reporting functionality including NSDE file retrieval and coding
Research and respond to Helpline requests pertaining to drugs, pharmacy services, and clinical trials for hospitals, ASCs, physician offices and other HCA entities
Review and maintain education for NCD/LCD/LCA related to drugs and clinical trials
Disseminate pertinent information to assist entities in maintaining compliance with regulatory requirements
Identify and prioritize high risk areas requiring regulatory and operational support for appropriate billing and charge capturing for governmental payers
Provide support to new service lines for Pharmacist Services. This support would include education, training, development and deployment of regulatory/operational tool kit, analyze data and implement billing edits
Conduct research and obtain clinical input from facilities, physicians, Supply Chain and CSG on pertinent billing and charge capture areas
Identify, investigate and/or resolve potential billing compliance issues
Review monitoring and audit results to identify additional follow-up, education, and support needs
Conduct follow-up with facilities to ensure that appropriate corrective action is taken in response to monitoring and audit findings
Assist Ethics and Compliance and legal operations in investigating potential compliance issues as requested
College graduate, Pharmacist or Certified Pharmacy Technician
Clinical background (e.g., Pharmacist, Pharmacy Technician, Nurse) with experience in charge capture, auditing, chargemaster maintenance and/or billing expertise for drugs and clinical trials
Strongly prefer the individual to be based in Nashville
Knowledgeable about governmental regulatory environment
Knowledgeable about billing regulations and experience with billing edits
Strong PC skills with proficiency in Microsoft Word, Excel, Access, and Powerpoint
Knowledge of Meditech Pharmacy, Onbase, HPF, Epic Pharmacy, Cerner Pharmacy, Patient Accounting, eTran, Business Objects desirable

152

Regulatory Compliance Coordinator Resume Examples & Samples

Determines the organization’s current and ongoing compliance with Joint Commission/regulatory standards and provides/coordinates education when opportunities are identified
Promotes culture of continual survey readiness, acting as a resource for CTMC leaders and staff
Supports the Vice President of Quality with pre-survey and on-site survey activities
Facilitates action plans and related responses to regulatory and accreditation body inquiries/reports regarding citations and deficiencies
Leads and instructs others in policy/procedure development to support standards compliance
Develops appropriate monitoring to verify standards compliance
Coordinates and promotes patient safety initiatives in alignment with The Joint Commission National Patient Safety Goals, National Quality Forum Safe Practices, and the Institute for Healthcare Improvement quality initiatives
Reports/participates in Quality Steering Committee, EOC, and other committees as assigned
Utilizes Meditech, Comet, and other data collection systems to gather valid data that reflects compliance with regulatory and national patient care standards
Participates in special data collection and analysis projects as needed
Identifies opportunities for process improvement through review of patient complications, mortalities, and readmissions

153

Medicare Regulatory Compliance Risk Advisor Resume Examples & Samples

Strong critical-thinking skills
Are self-motivated and possess the ability to manage multiple priorities and work under pressure to meet deadlines
Strong PC skills including web-enabled technologies such as internet-based applications; Microsoft Word, Excel, PowerPoint, Access and Project
Have prior background working in a compliance related area

154

Regulatory & Compliance Engineer / Architect Resume Examples & Samples

Civil
Chemical
Environmental Engineering
Experience or knowledge in Civil, Chemical, or Environmental Engineering
Engineering in Training (EIT) Certification

155

Junior Regulatory Compliance Engineer Resume Examples & Samples

Support NPI and Sustaining RC Engineers in certifying new and maintaining current certification status of production product
Monitor testing at third party test facilities and certifications
Collect, review, define test setup, RC test plans and release reports, and certifications
Ensure suppliers comply with domestic and international RC regulations
Experience with overseas ODMs a plus
Candidate must be able to write technical documents clearly and concisely
Maintain international RC Standards Library
Assist in RC program and product management; track budget, invoices, schedule, etc
Fulfill responsibilities under ISO 9001 and 14001; understand and fully support IS0 system
Comply with Health and Safety requirements of Belkin
Maintain a safe and clean work environment
Understand and follow company rules and regulations
Perform all other duties as assigned and required

156

Rn-regulatory Compliance Resume Examples & Samples

Research and analyze TJC, DNV, CMS, State and other regulatory agency requirements and issues; educate staff accordingly
Facilitate improvement activities related to regulatory accreditation non-compliance
Develop internal audits, mock surveys and self assessment tools in collaboration with operational managers and directors
Analyze reports and data from regulatory agency evaluations, self-assessments, and investigations, Develops summaries and recommend action plans
Coordinate and perform activities relative to the regulatory surveys
Responsible for collaborating with departments to ensure licensure requirements are appropriately documented
Ensures availability of current references of regulatory agency standards and communicates changes to management
Demonstrated knowledge of hospital accreditation requirements and regulatory requirements
Demonstrated human relation and effective communication skills
Project Management experience
Previous regulatory, compliance, and accreditation experience

157

Director Regulatory Compliance & Business Support Resume Examples & Samples

Academic degree
10-12 years relevant experience in pharmaceutical industry and/or Health Authorities, of which a significant part working in a regulatory compliance environment
10-12 years relevant experience in pharmaceutical industry and/or Health Authorities, of which a significant part working in a regulatory affairs and regulatory compliance environment
Excellent knowledge of the EU regulatory system, organization and procedures. Affinity with non-EU EMEA regulatory systems
Experience in working in a matrix organization
Strong interpersonal, communication, teamwork and negotiation skills; ability to influence without authority
Ability to work in a matrix organization and participate effectively both independently and as part of multiple multidisciplinary teams
Able to analyze complex information and situations and to formulate clear strategic and tactical advices
Good understanding of Regulatory and GxP
Continuous development into current regulations, guidelines and industry standards
General understanding of business partners need’s
Excellent English, verbal and written
Result-oriented accurate and conscientious
Flexibility in work hours and reachable in case of emergencies
Readiness to travel; amount of travel is mainly based on a case by case basis
Willingness to assist/help others

158

Regulatory Compliance, VP Resume Examples & Samples

Manage and coordinate all aspects of targeted regulatory examinations, including the preparation of business lines, timely review and submission of requested materials, facilitate meetings with senior business representatives and regulators as well as tracking and responding to any ongoing requests
Monitor and understand the changing regulatory environment to ensure policies, procedures and key stakeholders are kept current with relevant changes
Closely coordinate with multiple levels of BlackRock management and governance forums to help address regulatory requirements or inquiries on a timely basis
Provide periodic input into reporting and metrics provided to senior management
Demonstrate the ability to work in a fast-paced environment with multiple deadlines
Demonstrate a proficiency in or willingness to learn various areas of financial regulation and the knowledge or willingness to learn about the operations of a large asset management company
Previous investment management compliance or direct OCC, SEC, or ERISA regulatory experience is beneficial
Minimum of 5 years of legal, regulatory, compliance or operational experience at a financial institution is preferred. Relevant experience at a large law firm or a federal regulator will also be considered
BS/BA required; JD or other relevant graduate degree is preferred
Candidate will possess a positive attitude and be a global team player
Excellent organizational and project management skills, attention to detail, and inter-personal skills
Ability to make decisions and exercise discretionary authority necessary to successfully perform job duties
Proficient use of Microsoft Office including Word, Excel and PowerPoint

159

Banking Regulatory Compliance Consultant Resume Examples & Samples

Lead the development and recommendation of policies, procedures and act as a subject matter expert to ensure regulatory compliance and best practices are met
Implements compliance program and business initiatives when it relates to compliance for different functional areas within our financial services clients
Analyzes new and pending laws and regulations which directly affect banking practices; develops or revises appropriate policies, procedures, controls, reporting, contracts and agreements to ensure compliance. Implementation of those laws and regulation by state
Acts as compliance representative in projects involving new or changes to existing regulatory impacted materials
Perform testing of regulatory compliance and direct remediation of compliance risk issues

160

Accountant, Regulatory Compliance Resume Examples & Samples

Key to the delivery of the integrated plan in order to meet Risk, Compliance and Regulatory requirements
Understanding and implementing the company methodologies for testing and documentation
Ensuring the accuracy and effectiveness of the processes in order to resolve any issues
Delivery of high quality customer service and advice to the wider Group
Co-ordinating and participating in workshops with the team

161

Regulatory Compliance Senior Project Manager Resume Examples & Samples

Lead cross-Optum large capital impact regulatory and compliance initiatives to comply with CMS and state/local regulations
Lead or help develop program or project scope statements, in consultation with applicable stakeholders (e.g., program/project charter, Statement of Work, Business Vision Document)
Partner with Product and Operations development teams to develop and maintain the portfolio roadmap, including resource analysis, capital management, prioritization, and timing
Work with resource managers to drive the identification of the skills, duration and effort required for successful project execution
Support development of project managers and/or business analysts that support the execution of the portfolio projects
Fill in on project where there may be any resource gap – Business Analysis, Testing, etc. Must be a ‘doer’ and comfortable to fill in for any position
Collect, analyze, and maintain financial forecast information (e.g., labor, hardware, software), using input from applicable sources
Establish / apply quality objectives, criteria, standards and levels using appropriate quality management methods, with stakeholder input (e.g., key performance indicators, scope definition)
Develop, communicate and implement program/project risk/issue management plans and strategies (e.g., mitigation, avoidance, transfer, acceptance)
3+ years regulatory compliance experience with CMS and state / local driven guidelines
3+ years of experience working with Business Stakeholders within a Cross-Functional matrix environment
2+ years of experience leading large enterprise-wide cross-functional teams to successfully execute business objectives
2+ years of experience with full product lifecycle with understanding of development lifecycle and various technology methodologies that support that lifecycle
Proven ability to work in an ambiguous environment and collaborate across multiple areas in order to achieve a common business objective
Intermediate level of proficiency with MS Project, Excel, Visio, PowerPoint and SharePoint
Previous experience with gathering requirements from the client / business and documentation
Experience presenting to stakeholders and/or Senior Leadership
Strong executive communication and presentation skills with demonstrated ability to communicate ideas clearly and concisely
Excellent time management, organizational, and prioritization skills and ability to balance multiple priorities
Proven ability to demonstrate a drive for results and accountability of business needs
Ability to gain acceptance for ideas, plans, actions and then implement flawlessly across organizational boundaries
Must work out of our Optum Headquarters in Eden Prairie, MN or our Overland Park, KS or Hartford, CT locations
Familiarity with Administrative Simplification provision under the Patient Protection and Affordable Care Act (ACA) and / or Medicare Access and CHIP Reauthorization Act of 2015 (MACRA)
Business operations strategy definition and execution in a matrixed organization
3+ years of experience working with CBAs and Business Case development
Previous experience with Healthcare industry
Familiarity with Optum and Optum’s products & services

162

AML & Regulatory Compliance National Leader Partner Resume Examples & Samples

Proven excellence in the successful application of regulatory compliance expertise in a consulting, financial institution or regulatory environment
Proven experience with federal regulatory compliance laws and regulations in a financial institution, financial institution regulatory agency or consulting capacity
Successful track record of team leadership
Significant experiencein managing client relationships and leveraging them into new business advisory opportunities
15 + years' experience with federal regulatory compliance laws and regulations in a financial institution, financial institution regulatory agency, or consulting capacity
Bachelor's degree; masters preferred
Practice development, management, marketing and thought leadership
Technical certifications such as CRCM or CAMS

163

Regulatory Compliance Review Analyst Resume Examples & Samples

High School Degree and Bachelor's degree and or equivalent education or experience
2-4 years applicable experience in regulatory compliance-related work
Ability to develop and maintain close working relationships with assigned businesses. Excellent oral and written communication skills
PC literacy (MS Word, Excel, and Access or other database experience)
Strong organizational skills, including ability to prioritize several projects at a time
Thorough knowledge of banking laws and regulations and understanding of the financial services regulatory and compliance environment

164

Business Quality & Regulatory Compliance Director Resume Examples & Samples

Ensure timely and consistent escalation of events
Ensure compliance to all applicable quality standards & regulatory requirements, coordinating the timely and effective deployment of J&J Standards requirements
Establish and lead J&J/MD&D/EMEA‘s QM framework in the Emerging Markets region
Embed Quality Management System (QMS) management principles in the countries organization & drive continuous improvement
Establish corrective & preventive actions to mitigate potential or actual non-compliance risk
Drive simplification & standardization of QS in the region in line with J&J/MD&D strategies & initiatives
Track corrective action plans and mitigation/remediation plans for External Audits (Notified Bodies, Health Authorities etc), JJRC audits & QScan
Set Business Quality (BQ) targets, ensure effective flow down and monitor performance
Supervising the Field Actions and Complaints management in CEE, coordinating with Regulatory Affairs the notification to local Competent Authorities. Management of Pharmacovigilance per local country and J&J Franchise requirements (as applicable)
Develop, lead and maintain an comprehensive audit readiness program for the EMEA region to ensure internal and external compliance
Connect with the leaders in the region to align on strategy for audits in the region
Demonstrate Leadership behaviors expected by J&J Credo and Leadership Principals
Drive accountability for compliance to foster a compliance driven culture
Establish local and regional relationships with RA, business partners and internal/external QRC groups
Build and further develop capabilities in the region to enable flawless execution & good business outcomes
Create a leadership structure and team to cover the Emerging Markets, in line with J&J POL-001 requirements
Develop a robust QRC structure in the region and drive change as needed to enhance capability
Connect with the business leaders in the region through active participation as the Quality representative for Emerging Markets in relevant Quality Councils and Leadership meetings
Maintain current knowledge of regulatory changes through industry publications, seminars, professional affiliations and industry meeting
Leadership in accordance with J&J principles and values
Strong Quality System knowledge and understanding of Regulatory Compliance requirements for relevant market
Strong business partnership with Commercial Leadership with understanding of Business needs and activities.Quality (Generalist)

165

Senior Analyst Regulatory Compliance Monitoring & Testing Resume Examples & Samples

Good understanding and experience of Regulatory Compliance and/or Financial Crime regulations
Minimum of a Bachelor degree in business, law, accountancy or related field or equivalent experience
Awareness of good risk management and governance frameworks including 3 lines of defense criteria
Proven team player with an open communication style

166

Consultant, Regulatory Compliance Resume Examples & Samples

4-7 years of 1940 Act /Mutual Fund regulatory compliance experience
Strong knowledge of 1940 Act Fund regulations/Mutual Fund space and the Charles River system (Compliance module) usually acquired through related work experience
Able to extract rule language from a prospectus, translate to a matrix, and code rules/guidelines in the Charles River application. Keen analytical and problem solving skills

167

Senior Regulatory Compliance Counsel Resume Examples & Samples

Drive execution of MasterCard’s compliance with obligations resulting from the interchange fee regulation, including the separation of scheme and processing
Coordinate and be responsible for successfully meeting MasterCard’s obligations resulting from licenses within Europe
Act as the Lead on the timely submission of reporting obligations within Europe
Create a positive working relationship with regulators that are tasked with ensuring MasterCard’s compliance
Work in close collaboration with the European Regulatory team
Enable the cross-pollination of submissions with the Global Regulatory team
LLB or JD from an established and reputable law school
Significant experience in a regulatory or compliance position in a corporation, association or government context and/or as a regulatory attorney in a law firm (preferably in the payments industry, banking or financial services sector)
Proven success in navigating multi-national organizations and operating effectively within a diverse multicultural organization
Must demonstrate a proactive, time sensitive, results driven approach in carrying out all duties, obligations and responsibilities
Fluency in English (written and spoken) is a requirement. Excellent written and oral communication skills a must

168

Consulting Associate Banking Regulatory Compliance Resume Examples & Samples

Work individually or as part of a team to provide project execution on client engagements
Contribute to strong client relationships through positive client support and sound expertise
Using proven tools and techniques, execute project deliverables in a manner consistent with our client's business objectives
CRCM or CCBCO certifications
Experience working for the FDIC, CFPB, OCC or financial agencies with banking or as a compliance officer
Excellent verbal, written and interpersonal communication skills

169

Regulatory Compliance Engineer Resume Examples & Samples

Execute pre-compliance/compliance evaluation tests at in-house EMC & Safety test facilities. Provide feedback on product performance and recommended remedies to any non-compliances
Aiding in the development and oversight of the test setups for testing
Providing technical support, guidance, and justifications related to testing processes and methodologies based on appropriate customer and industry regulations, requirements and guidelines
2+ Years of Experience in HW qualification testing/HW verification testing/EMC testing (UL,CE, FCC, CISPR 22 etc)

170

Regulatory Compliance Team Lead Resume Examples & Samples

Partner with Regulatory Compliance Team Leads on management of regulatory compliance activities, providing direction and driving delivery of the regulatory compliance program
Staff management, including performance and development management
Manage the execution and delivery of certain key activities undertaken by the EMEA Regulatory Compliance and Governance team, including but not limited to
UK regulatory interaction handling and tracking, in particular regulatory breaches and issue management
Further the development of effective operational processes and controls
Coordination of MCA testing and PRC oversight
Support UK Individual Accountability, Certification Regime and Exchange Registration processing
Support UK legal entity management and UK regulatory compliance reporting requirements
Assist with EMEA regulatory exam management and regulatory interaction governance initiatives
Contribute to the design and implementation of UK regulatory compliance tracking and metrics
Provide advisory support on related EMEA Regulatory Compliance policies, procedures and controls, acting as an escalation point for the wider team
Participate in the development, implementation and/or maintenance of processes, procedures and controls to ensure compliance with any new and current regulatory guidance and Citi policy
Provide assistance on ad hoc projects and key initiatives as required, which may be local, regional and/or global, including but not limited to EMEA Regulatory Governance development
Participate in cross-functional initiatives across the Belfast office and broader EMEA Compliance department, fostering and maintaining good relationships with all businesses
Engage with initiatives arising from the wider Belfast Compliance team and EMEA Compliance Department in general, with a view to supporting strategic oversight and co-ordination
Experience in management role and leading change
Effective leadership skills, development and coaching of staff
Extensive experience in a Compliance role or other Control Function
Experience with sensitive, confidential and/or regulatory related communications
Project Management experience and/or proven ability to manage competing priorities and tight deadlines
Experience with UK FCA Connect and UK FCA GABRIEL systems an advantage
Effective team management
Excellent interpersonal and team-building skills Motivated, enthusiastic and positive
Highly organised, efficient and ability to manage competing priorities Excellent judgement and analytical skills

171

Human Resources Compliance Mgr-enterprise Regulatory & Compliance Resume Examples & Samples

Americans with Disabilities Act
Fair Labor Standards Act
Equal Employment Opportunity Act
Equal Pay Act
Pregnancy Discrimination Act
Age Discrimination in Employment Act
Family and Medical Leave Act and Occupational Safety and Health Act
Documenting and maintaining the company’s Human Resources (“HR”) Compliance Program, which articulates how each facet of the company’s compliance framework is applied to manage compliance risk within HR
Conducting routine compliance risk assessments of HR business units to establish inherent risk, control effectiveness and residual risk
Establishing independent compliance testing plans based on risk assessment results
Implementing routine monitoring activities by partnering with the HR organization, including the establishment of compliance key risk indicators across the HR function to assess compliance risk
Monitoring and assessing regulatory changes, industry developments and best practices that may impact the company’s HR compliance program, conducting impact assessments and partnering with the HR organization to establish implementation plans
Performing routine compliance risk reporting to senior management on current and emerging HR compliance risks, regulatory changes, and effectiveness of the HR compliance program
Assessing HR compliance risk as part of new initiatives or changes to existing processes
Coordinating with, as appropriate, key stakeholders including the information security, privacy, legal and other compliance partners as appropriate to assess compliance risks
Identifying training needs and creating HR compliance training as required
Independently overseeing the HR employee complaints management process to ensure that complaints are handled consistent with applicable law and SunTrust policies, and complaints management processes align with regulatory requirements and best practices
Facilitating the management of regulatory examinations impacting the HR organization, assisting in the creation of management responses to regulatory matters and inquiries, and participating in the resolution of audit issues

172

Program Manager, Brqc Regulatory Compliance Resume Examples & Samples

A Master’s degree in a related field or other advanced degree is desirable
A minimum of 8 years of relevant experience with at least 3 years’ of leadership/management experience in the Pharmaceutical, Medical Device and/or Consumer/OTC industry working on complex and significant GxP compliance topics is required
Strong knowledge of Medical Device regulations is preferred
Experience working with diagnostic and/or cosmetic product classifications is desirable
Comprehensive working knowledge of at least one of the following areas is required: worldwide GCP, GLP, and/or PV (Pharmacovigilance) compliance regulations
Must be capable and resourceful in the use and navigation of current/emerging technology/tools to further the Regulatory Intelligence program
Must be capable of navigating and analyzing high volumes of information
Knowledge of latest auditing, investigation and remediation techniques is preferred
Experience working directly with Regulatory/Health Authorities is preferred
Fluency (both oral and written) in English is required. Fluent means that you are completely comfortable communicating on a detailed, professional level
The preferred location for this position is at a J&J Operating company in Europe or Northeast US. Preferred US locations included Raritan or Titusville, NJ; Spring House or Horsham, PA. Considerations will be made for other J&J operating sites
Position may require up to 20-30% domestic/international travel depending on business needs.R&D

173

Director of Healthcare Environment of Care & Regulatory Compliance Resume Examples & Samples

Subject Matter Expert (SME) with a comprehensive understanding of the CMS Conditions of Participation and The Joint Commission Environment of Care Standards
Collaborates with the Account Director, Account Leadership Team and Regional Facility Directors in the development of protocols and processes (SOP’s) associated with the Joint Commission Environment of Care Standards and all other applicable Regulatory Agencies
Develops and implements standardized processes for conducting compliance audits at each Hospital to determine Operational Readiness/Preparedness
Utilizes field audit data/information to prepare specific action/improvement plans for each Hospital/Site
Serves as quality and compliance liaison between JLL and Adventist Health
Maintains working knowledge and ensures compliance with the Master Services Agreement (MSA) and any other relevant amendments or appendices which guide JLL’s relationship with Adventist Health
Attends and actively participate on Governance Council, Corporate Community of Practice Committee, Site Environmental Rounds, Documentation Reviews, Fire / Life Safety inspections and Statement of Condition reviews and audits
Provides Account Wide education to JLL staff on applicable regulatory processes and procedures while also communicating literature-based ideas with regard to effective quality/compliance strategies
Determines the degree of compliance with applicable standards, as directed by JLL management, specifically in the areas of NFPA101 Life Safety Code-SOC/PFI/ILSM, Safety Management, Security Management, Bio-Hazardous Waste and Hazardous Materials Management and Waste
Tracks, trends and recommends action plans with regard to KPI/SLA below standard performance (MSA Driven)
Develop in partnership with the client and JLL Account Leadership team reporting tools and metrics specific to established KPIs, SLAs for tracking monthly, quarterly and annual outcomes/results specific to MSA contractual requirements
Responsible for the Employee Health & Safety (EH&S) requirements for JLL employees. Act as the account corporate EH&S liaison, therefore meeting corporate initiatives
Act as the educational compliance lead
Responsible for the account Accident Incident Management System (AIMS) reporting requirements
Manage the MasterControl employee compliance education program
BS degree required, preferably in an Engineering discipline
Five years of hospital experience in Plant Operations and/or Safety Management
Experience in hospital systems with multiple hospital locations in several states, preferred
Previous Experience in a Joint Commission Survey Audit/Survey
CHFM and/or CHSP certification desired
Quality Management Training/Certification (i.e. Six Sigma Green Belt/Black Belt), desired
Working Knowledge of Joint Commission Environment of Care Standards (required) to also include but not limited to Safety Code (NFPA101)
Participation in CMS validation surveys (Preferred)
Proficient in Microsoft Office Suite of products, strong writing skills
Strong analytical, organizational, and coordination skills required
Demonstrated communication skills (oral and written) required
Customer service orientation and strong presentation skills to internal and external parties required

174

Regulatory & Compliance Project Manager Resume Examples & Samples

3+ years of related work experience
Previous Compliance background
Knowledgeable in Operations of MLTC, Medicare Advantage, FIDA and MAP programs

175

Team Lead, Regulatory Compliance Resume Examples & Samples

6 - 10 years of 1940 Act /Mutual Fund regulatory investment compliance experience
Excellent working knowledge of the Charles River application (Compliance Module) including a clear understanding of rule coding
Management related experience acquired through an advanced degree program or related work experience is preferred
Strong knowledge of 1940 Act Fund regulations/Mutual Fund space and the Charles River system (Compliance module)
Able to determine rule language from a prospectus, translate to matrix, and code rules in Charles River
Keen analytical and problem solving skills
Great process and procedure development skills
Strong interpersonal skills with the ability to establish credibility and foster excellent working relationships with internal and external partners

176

AP Analyst Safety & Regulatory Compliance Resume Examples & Samples

Acts as liaison with Stores and Legal Department on store level regulatory compliance issues. Ensures that all paperwork and notices delivered to stores by regulatory agencies are properly addressed
Works with Legal Department to draft responses to regulatory agencies for store related compliance issues or inquiries
Manages safety related reporting obligations for Asset Protection Department. Responsible for cross-training select members of the Asset Protection team on report creation functions
Ensures delivery of weekly reporting of company workers compensation and general liability activity for use in the Asset Protection Department (e.g.: Weekly Score Cards, Chargeback Assessments, etc.)
Conducts worker’s compensation and general liability root cause analysis
Assists in the creation and publishing of various components of the Safety Program via multiple communication mediums
Develop, manage, update and streamline Safety SOPs in order to better support “R” Efficiency in the stores and to ensure alignment with Asset Protection and Company strategies
Works with various members of the Asset Protection and Store Communications team to draft and create On-Demand Learning Presentations for distribution to Store teams
Critical member of Crisis Management team during official activations of the Asset Protection Operations Center
Participates in various HQ based safety project committees
Facilitates safety reviews of store displays and fixtures
Facilitates training of Asset Protection Analysts in utilization of Situation Response incident reporting and Crisis Management procedures
System administrator for crisis management and injury reporting databases
Bachelor’s degree in business or safety related field preferred
CSP or CPP certification preferred
5-7 years of relevant business experience in a retail environment
Previous experience in developing and implementing Safety programs and SOP’s
Prior experience in working with OSHA and other regulatory agencies
Thorough knowledge of workers compensation and general liability claims processes and reporting systems. Knowledge of CS Stars system a plus
Strong understanding of Retail Compliance Regulations and Codes including OSHA, ADA and Life Safety code
Demonstrated leadership skills with training and developing personnel in Situation Response and Crisis Management protocols
Self-motivated and works with a sense of urgency
Strategic thinking and independent decision making ability
Resourcefulness, flexibility, and resiliency
Ability to influence, hold accountable, and provide objective feedback to others on cross-functional projects and initiatives
Strong organization, planning, time, and project management skills
Strong writing and verbal communication skills
Experience managing and enhancing talent
Strong ability to quickly and seamlessly adapt to shifting priorities
Proficiency in Microsoft Word, Excel, Access, & Outlook
Working knowledge of MS Project a plus

177

Regulatory Compliance Engineer Resume Examples & Samples

Ensuring that AR products are safe, compliant, operationally and cost effective
Work with certifying agencies and organizations to ensure new and existing designs comply with local, regional and national regulations
Collaborating with the product team program managers, architects and engineers to educate on regulatory requirements for new and existing products and to consult on compliant design development through test and validation activities
Partner with 3rd party labs to test and validate AR products and support testing from a hardware and software perspective
Participate in certification of AR's industrial equipment
Partner with AR suppliers to communicate regulatory requirements and verify compliance
Bachelor's degree in science or engineering
5+ years of engineering experience, preferably in the automation, medical or industrial equipment industry, with exposure to safety engineering in product development
Knowledge of UL standards, EU directives and OSHA regulations including machinery standards and functional safety, e.g. NFPA 79, EN 60204, EN ISO 12100, IEC 61508, IEC 62061 and EN ISO 13849
Knowledge of EMC regulations pertaining to FCC, Industry Canada, EN 55011, EN 61000-6-x, etc
Experience in documenting product requirements extracted from industry safety and EMC standards
Experience in risk management and performing risk assessments
Experience certifying new products
Experience supporting EMC and Safety programs by means of identifying equipment needs, documentation needs, support equipment needs, staging and support of equipment to be tested, debug capabilities, etc
Experience interacting with customers, regulatory agencies, test labs, etc
Willingness to travel and work offsite at partner labs
Ability to multitask in a high energy environment

178

Senior Fleet Regulatory Compliance Consultant Resume Examples & Samples

Ensure compliance with regulations as they apply to fleet operations. Develop, maintain and provide oversight for the administration of DOT driver qualification files and various fleet safety programs. Advise on HAZMAT regulations as they pertain to fleet operations. Ensure data collected accurately reflects Xcel Energy performance; lead effort to correct faulty data. Support pre-employment decisions by aggressively utilizing the Federal Motor Carrier Safety Administration Pre-Employment Screening Program. Coordinate/oversee development, enhancement of data systems and training requirements to meet DOT regulations and improvement Federal Motor Carrier Safety Administration Compliance, Safety and Accountability score and performance for 4 separately registered operating companies. Review/process all DOT Inspections, Citations and violations, take appropriate action to ensure compliance with regulations. Create training materials for business unit and safety partners
Research and analyze corporate motor vehicle accident data. Work closely with claims and fleet personnel to adjudicate accident claims. Assist with accident investigations as requested to determine root cause. Develop weekly accident reporting for distribution to all levels of Xcel Energy management. Serve on the Driver Safety Team; identify trends and assess opportunity for team recommendations to support reductions in motor vehicle accidents. In conjunction with management, develop and coordinate remedial driver training programs for identified employees. Maintain driver training records for all affected employees
Interpret, analyze and communicate the potential impact of proposed rules, regulations and legislation pertaining to company operations. In conjunction with management, provide written testimony and respond to regulatory requests for information concerning corporate compliance with federal, state and local regulations and all Fleet-related issues
Oversee medical programs that support compliance with DOT requirements. Coordinate directly with Xcel Energy’s contracted occupational medical vendor to ensure compliance with DOT medical requirements. Ensure integrity of all vendor/employee provided DOT required documents
Oversee corporate fleet vehicle licensing and permitting programs minimizing total cost to operating departments. Lead corporate support of regulatory agency audits or requests for information. Act as liaison between managers and crews to facilitate fleet performance in mutual aid emergency response efforts

179

Mgr Regulatory Compliance Resume Examples & Samples

BS/BA in Finance, Business Administration, or Accounting
7 Years with Bachelors; 5 Years with Masters
Experience using CATS, Concur, SAP and Business Warehouse (BW)
Some travel may be required
Strong communication skills with the ability to effectively interact with senior

180

Director, Regulatory Compliance Resume Examples & Samples

A minimum of a Bachelor's Degree in Science, Engineering, Business, or Quality and Regulatory Compliance related discipline is required
An advanced degree (MS, MBA, PharmD, PhD, etc) is preferred
A minimum of 10 years of related work experience in Quality and Regulatory Compliance in an international, global context, in a regulated healthcare environment is required
Functional experience working with medical devices is required
Expert and broad based knowledge of cGMPs and medical device ISO requirements is required
Proven experience effectively interfacing with global regulatory agencies, e.g., FDA, MHRA, TGA, notified bodies, etc. is required
Ability to analyze and interpret regulatory documents is required
Ability to develop strategy, build consensus, and driving outcomes without always having line authority is required
Proven experience in driving progress to strategic plans and remaining focused under ambiguous and complex situations is required
Ability to influence, negotiate, and build credibility to enable achievement of goals is required
Ability to lead teams and build strong cross-functional relationships is required
Experience in regulatory affairs areas, including knowledge of 510K and PMA submission process (or global equivalent) is preferred
Experience in establishing Quality Management Systems is preferred
This position will be based at any US JNJ facility, including the possibility of being remote, and may require up to 30% domestic and international travel

181

Regulatory Compliance Audit Liaison Resume Examples & Samples

Data gathering, detailed review and analysis of information and other audit activities associated with RFI’s, special request/projects, etc
There will be a requirement to explain data in legacy incurred cost claim schedules, provide FAR/CAS interpretations, understand Mandatory Annual Audit Requirements (MAAR), and participate in other assignments as needed
Interpreting policies and procedures to ensure compliance with the appropriate statutes and regulations and that regulatory reporting requirements are met
Actively engage with Governmental Agencies (DCAA/DCMA) which involves working directly with Governmental Audit auditors and internal staff to accurately, professionally, and timely respond to audits, RFI’s, Business Systems Reviews, ad-hoc requests, and special projects
Investigates and resolves compliance problems, questions, or complaints received from other units of the company, customers, government regulatory agencies, etc
Support the Incurred Cost Submissions
May assist and support final rate/cost negotiations, quick closeouts, or other duties as required
Identify and recommend to management areas for business/process improvement, compliance, or concerns regarding company police/procedures
Will support ad-hoc request and special projects
Bachelor's degree in Business/Accounting/Finance with 15 years of related experience OR a Master’s with 13 years of related experience. (Additional 4 years of experience may be accepted in lieu of Bachelor’s)
Experience in finance, accounting, and compliance in government contracting
Experience with and overall understanding of accounting, business systems, reporting systems, budgeting, estimating, and internal controls
Knowledge of FAR, CAS, and other related rules, regulations, laws, or issued guidance (i.e. MAAR, CAM, DFARS, etc)
Proficiency with Microsoft Excel

182

Team Lead, Regulatory Compliance Resume Examples & Samples

Oversee the compliance post trade testing/monitoring and review governing documents
Serves as a subject matter expert and mentor to junior level Compliance Analyst/Consultant
Assigns tasks to junior level Compliance Analyst/Consultant
Can effectively communicate with CCOs and liaise effectively with internal partners

183

Consultant, Regulatory Compliance Resume Examples & Samples

Daily compliance support of 40 Act Fund clients
Facilitate the compliance post trade testing/monitoring and review governing documents
Clear understanding of regulatory compliance; SEC and IRS rules
Completes review of prospectus, interprets rules, translates into the matrix, and codes rules into the Charles River system
Excellent written and communication skills

184

Regulatory Compliance, Months Contract Resume Examples & Samples

Provide comprehensive compliance and regulatory advice on PB compliance issues
Drafting and reviewing of policies
Assist management in resolving Compliance issues which arise in Private Banking
Provide training
To ensure that the compliance function in Singapore operate so as to service management and business needs by setting an example as a commercially aware compliance resource and encouraging management to view Compliance as such
Understand and implement Compliance control procedures

185

Regulatory Compliance Leader Resume Examples & Samples

Bachelors' Degree in Chemistry or closely related discipline
Significant years' relevant working experience
Proven experience with working with Chemical Regulations
Ability to analyze requirements/regulations and create a manageable design solution
Demonstrated ability to pursue tasks to completion, results oriented
Strong communication, interpersonal, analytical, and problem-solving skills
Process and detail-oriented, including strong organizational skills and ability to prioritize
Self-motivated with ability to handle a large and varied workload simultaneously, to multitask and to work independently
Ability to interface effectively with different functions throughout the organization
Experience in cross functional team communications, influencing skills and ability to gain buy-in for initiatives
Extractable and leachable requirements for Single Use consumables
21 CFR Part 170 Food Additives and Food Contact Substance Notification Program
REACH (Registration, Evaluation, Authorization of Chemicals)
CLP (Classification, labelling, packaging)
Animal origin (EC1069/2009 and USP VI)
BPR (Biocidal Product Regulation)
TSCA (Toxic Substances Control Act)
Experience with BioPharmaceutical manufacturing
Knowledge around product environmental regulations such as RoHS, WEEE directives
Experience as a Compliance or Regulatory engineer
Masters degree in Chemistry or other closely related fields
Familiar with Design and Development in ISO 9001
Experience with authorities such as ECHA (The European Chemicals Agency), EPA (Environmental Protection Agency)
Sterilization requirements for Single Use consumables
Biocompatibility requirements and standards
Experience from GMP and GLP regulated environment, including clean room

186

Regulatory Compliance Advisor Resume Examples & Samples

Provide support and guidance to internal and external clients on regulatory compliance issues related to consumer credit services
Draft compliance policies and procedures
Perform compliance reviews of vendors, partners and clients
Provide assistance to Product Marketing and Sales by attending meetings, holding ad hoc meetings, and attending business functions
Perform formal compliance reviews and risk assessments of new or enhanced product and service offerings in conjunction with Product Marketing teams
Review and approve financial marketing materials
Provide formal and informal training on regulatory compliance policy matters for internal partners
Work with a variety of cross-functional teams to ensure compliance with laws, regulations and policies. These include, but are not limited to, Legal, Information Security, and Governmental Affairs
Minimum of five years’ experience in a regulatory compliance role providing subject matter support and oversight to a business region, function or enterprise and its financial products and services; and/or general compliance governance functionality
Extensive knowledge of federal and state privacy laws and regulations, including FCRA, FACTA and GLBA, preferably from a consumer reporting agency (CRA) perspective
Knowledge of federal and state consumer protection laws and regulations, including UDAAP
Excellent analytical, communications (written and verbal), and interpersonal skills required
Strong organizational skills to prioritize a high volume workload
Must be willing to learn new tasks and take on new responsibilities when needed

187

Healthcare Regulatory Compliance Industry Consultant Resume Examples & Samples

Establish and maintain ongoing business relationships with regulators and other business partners/vendors
Coordinate and prepare the organization’s submission strategy and submit comments to government agencies regarding proposed regulations
Identifies, obtains, compiles and reviews regulatory documents impacting Argus business and customers
Take a lead role in the interpretation of published and proposed regulations, working closely with regulators, legal resources, and customers to clarify or build consensus
Provide oversight and leadership on multiple compliance related projects while meeting regulatory deadlines and commitments
Take a primary role in customer compliance audits
Develop and implement process improvement methods for monitoring, tracking, documenting and communicating regulatory guidance to internal and external stakeholders

188

Regulatory Compliance Consultant Resume Examples & Samples

Preparation of BSA and regulatory compliance review reports
Coordinating the timely completion of fieldwork
Working with clients and other FIG staff to determine engagement/relationship objectives, develop appropriate budgets and assist in coordinating resources to meet the objectives
Establishing and maintaining relationships with key bank executives and directors
Periodically attending bank federation/association meetings
Providing oversight/review of assigned financial institution staff members
Working with other Managers and Engagement Directors and client to address credit review issues that may arise
Keeping abreast of the latest banking industry and regulatory compliance developments through ongoing formal and self-education
Anticipating and addressing client issues

189

Lead, IT Regulatory Compliance Resume Examples & Samples

80%
Leads and executes internal audits and periodic reviews covering key IT GxP related processes, large global portfolio of computerized systems covering Supply Chain, Manufacturing, Laboratory, Commercial and R&D, including ERP systems (e.g., SAP, JDE), Manufacturing Execution Systems (MES), Warehouse Management System (WMS), Laboratory Information Management Systems (e.g., LIMS and Empower), Quality Systems (e.g., CAPA, Non-Conformance, Change Control, etc.) Enterprise Master Data Management (EMDM) and Data Warehousing
Contribute to the content management for writing SOPs, WIs, Policies for the audit program
Ensuring timely and effective resolution to CAPAs and audit observations related to the audit program
Partner with audit observation owners to understand root cause analysis and develop appropriate remediation plans
Provide on-going support for the Audit mailbox including the coordination and management of activities to provide requested support
Maintain awareness of new and emerging technologies and regulatory requirements
Support communications and distribution of final report for internal, external or 3rd party audits
Supports Health Authority inspection readiness activities
Assist with audit readiness activities for internal and external audits
Performs gap assessments to new or evolving regulatory requirements and guidance
When applicable, leads the delivery of education and training on compliance requirements, procedures and controls
Builds and maintains trusting, collaborative relationships and partnerships with internal and external stakeholders to accomplish business objectives
Participates in industry and other professional networks to ensure awareness of industry standards, trends and best practices in order to strengthen GxP audit knowledge. Engages with industry groups (e.g., ISPE, AdvaMed) to understand and influence the external regulatory environment
Partners with stakeholders to assess, develop and implement solutions that enable compliant innovation
A Bachelor’s degree is required. (Preferred Area of Study: Computer Science, Mathematics, Information Technology, Engineering or related discipline preferred)
A minimum of 3 years of experience in IT (Information Technology), Compliance and/or QA (Quality Assurance) within a regulated industry
A minimum of 2 years of auditing experience in a regulated healthcare industry
Experience leading or participating in global virtual teams
Experience and knowledge of FDA computer system validation requirements, Quality System Regulations, ISO plus experience with external auditing bodies
Demonstrated experience in writing compliance documentation
Demonstrated ability to support complex projects, priorities and multiple tasks
Ability to influence, negotiate, inspire trust, and quickly build credibility to enable the achievement of mutual goals
Strong skills in interdependent partnering to facilitate collaboration
Ability to perform work with a high degree of independence and proven experience in driving progress and remaining focused under ambiguous and complex situations
Ability to work effectively in a virtual team environment
Up to 25% Domestic and international travel
Experience interacting with health authorities and/or notified bodies during inspections is preferred
Understanding of how regulatory bodies approach inspections and how to respond to Health Authority observations is preferred
CISA, ASQ, ISO Lead auditor or other auditor certification highly preferred
Knowledge of process design, development and continual improvement is desired
Knowledge of process improvement experience such as Six Sigma, Lean and Design Excellence is a plus.IT Compliance

190

Product Regulatory Compliance Representative Resume Examples & Samples

Bachelor's Degree required with a preference in chemistry or related field
Experience in chemical regulations and/or stewardship prefered
Self-motivated, detail-oriented and results-driven, with excellent communication and interpersonal skills
Critical thinking
Ability to build relationships and collaborate across multiple functions
Ability to develop knowledge about the chemistry of products, not limited to the identity of the products, but also possible formation/presence of by-products, impurities, break-down products, additives used and contaminations by processing aids, packaging, storage and transportation
Microsoft Office application proficiency and abilty to learn SAP functionality
Process or procedure design experience beneficial
Presentation experience beneficial
Willing to travel ~10%

191

Regulatory Compliance Resume Examples & Samples

Working with the team lead to provide qualitative compliance advice and support to the business including advice on regulatory change
Liaising with portfolio managers and other investment staff including dealers on regulatory matters including advising on eligibility of instruments under UCITS, business conduct and application of BlackRock compliance policies
Provide support and input to co-ordination of activities relating to the governance of the UK fund ranges
Participation in other compliance or business-driven projects and initiatives providing timely advice on compliance matters
Provide input to regular reporting and communication on Compliance matters to senior management and corporate and/or fund boards and broader BlackRock business
Excellent organisational skills - ability to prioritise workloads and adhere to deadlines
Knowledge of UK UCITS a distinct advantage (Luxembourg and Irish UCITS also considered)
2+ years financial services experience with a focus on regulation

192

Director, Regulatory Compliance Resume Examples & Samples

Define, develop and oversee transactional processes, procedures and systems surrounding Import and Export compliance
Support of strategic initiatives (e.g., ISCS, Mobility), acquisitions and new/emerging technologies (Cloud)
Serve as subject matter expert in all relevant import and export regulations, providing both technical and operational advice for all international business development initiatives
Management of US Compliance team including but not limited to employee technical development, performance management, workflow productivity and rebalance, departmental reorganization, continuous improvement of processes, program; perform compliance self-assessment of departmental internal controls
Perform compliance audits of import program at Tech Data subsidiaries
Meet attendance and punctuality standards
4 year university degree plus 15 years of relevant experience
Advanced degree preferred
Extensive experience with Customs/import and Export strategic planning, compliance risk assessment / management.Extensive knowledge of relevant compliance laws and regulations
US Customs Broker’s License required
U.S. Export Compliance Officer certification preferred
Work in similar compliance role and capacity for Hi Tech or electronics firm
Strong knowledge of encryption and/or products containing this controlled technology
US Customs Compliance and import operational knowledge and experience required

193

Vehicle Safety & Regulatory Compliance Intern Resume Examples & Samples

Completion of junior year at an accredited university by summer of 2017
Working toward a Bachelor's degree in Business, Finance, Engineering, or related field from an ABET accredited university
GPA of 3.0 or higher (based on a 4.0 scale)
Computer proficient

194

Regulatory Compliance Coordinator Resume Examples & Samples

Coordinate accurate quality data collection and protocol interpretation as it relates to regulatory affairs. Prepare regulatory documents for successful submissions to KPNW's Institutional Review Board. These include review requests for new protocols, amended protocols, investigative drug brochures, IND safety reports, serious adverse event reporting, annual reports, and changes to informed consents and protocol deviations/violations. Collaborates with study sponsors to ensure understanding of protocol, informed consent, and other regulatory requirements. Collaborate with study team members to clarify scientific and clinical issues. Practice according to professional, legal, and ethical standards. Develop and implement systems and reports to support department and regulatory needs. Assist the department in evaluating systems and processes to promote effective resource utilization
Coordinate specific regulatory assignments to support the goals of the department, the oncology clinic, and the studies. Act as a resource to staff for managing regulatory issues. Prepare and submit regulatory documents to sponsors as appropriate. Ensure study administrative regulatory files are accurate and up to date. Take a leadership role in developing a quality management process within the department that includes quality control, quality assurance, and quality improvement. Communicate study-related issues, such as protocol violations and patient safety to appropriate persons. Coordinate and organize all regulatory documents and maintain the database with all pertinent regulatory information. Apply thorough knowledge of GCP (Good Clinical Practices), Institutional Review Board, and FDA (Federal Drug Administration) rules and regulations that apply to human subjects research. Anticipate fluctuations in work flow and make appropriate adjustments to meet standards and deadlines. Prepare and assist with all regulatory audits. Provide ongoing review and updates of department policies and procedures to ensure compliance with CHR/KP standards as well as government regulations
Establish, plan, and coordinate channels of communication between research staff, PI's and KPNW Research Subject Protection Office (RSPO) to solve problems effectively. Establish positive working relationships with Principal Investigators, RSPO staff and other members of the study team to ensure timely, accurate verbal and written communication of study related regulatory activities. Provide timely, accurate communication to appropriate study team members of changes in regulatory interpretations and/or reporting requirements as required by the RSPO. Collaborate with the RSPO to ensure compliance with all institutional and regulatory requirements. Generate invoices to sponsors for IRB/regulatory related charges. Demonstrate a thorough knowledge of communication skills by contributing productively to problem solving and conflict resolution
Take a leadership role regarding regulatory related activities working with a multi- disciplinary team. Act as a role model, developing and participating in collaborative relationships with other staff members. Provide regulatory interpretation and clarification to team members. Integrate the department purpose/mission/vision/values into practice
Minimum one (1) year in a clinical trial setting
Minimum two (2) years in clinical trial setting preferred
Minimum two (2) years of research experience in clinical research setting and experience abstracting data preferred
Master's degree in related field preferred
Thorough knowledge of MS Office software and database management preferred
Knowledge of FDA regulations as they pertain to the protection of human subjects preferred
Thorough understanding of medical terminology preferred

195

Research Regulatory Compliance Coordinator Resume Examples & Samples

Performs administrative and regulatory review of research protocols being conducted under various funding sources
Prepares IRB applications and ensures that applications meet regulatory requirements for human subject research (Good Clinical Practice and Code of Federal Regulations) and institutional policy
Assists with preparation and maintenance of IND submissions for Investigator-initiated research of investigational new drugs or biologics
Coordinates review status between collaborating institutions locally and internationally
Interacts and consults with IRB representatives, interdivisional regulatory offices, Federal, State and Local agencies, FDA, and Sponsors on issues regarding ongoing protocols
Provides faculty, students and staff with institutional and regulatory guidelines and policies on research involving human subjects
Assures timely development and upkeep of Center regulatory database
Contributes to the development of seamless, on-line processes for faculty submissions to regulatory offices and agencies
Responsible for the organization, entry, maintenance, and accuracy of all CIR personnel required credential renewal documents in a timely and ongoing manner
Assists with special projects and other duties as assigned
Marketing and advertisement liaison for the CIR

196

Regulatory Compliance Counsel Resume Examples & Samples

Join a company that’s made information that was previously only available in a print format accessible online
Be part of a 10,000-strong global workforce
Work with world-class content and respected legal and business publications
Monitoring and advising on all current regulatory requirements, policies and procedures applicable to the industry and in particular the business
Contributing to LN Regulatory compliance using established methodology which involves a multi stage process to achieve compliance; Investigate, Gap Analysis, Policy/Process gap fill, Education, implementation and Audit. Using and establishing a process of "House Style” documents to roll out implementation, giving clarity and consistency
Keeping up to date with new regulations which may affect the business and finding pragmatic/balanced solutions for compliance efforts
Work with RELX compliance department on various projects including Preventing Bribery compliance efforts, competition and data protection issues
Build, manage and maintain strong internal relationships with key stakeholders and teams across LN to help investigations/gap analysis and implement specific areas of the LN Compliance project

197

Director of Regulatory Compliance Analysis Resume Examples & Samples

Maintain knowledge of legal trends, legal requirements, and business requirements at a high level
Facilitate discussion and decision-making on legal, product and business issues, with the final authority on content decisions
Monitor, evaluate and identify early the legal, compliance and business risks relative to products and customers, provide alternative approaches to address the risks, and direct accordingly
Ensure content development and maintenance follows accepted standards, practices and processes to mitigate risk and enable warranty coverage of appropriate content
Interact with other WKFS departments and external agencies, law firms, and industry associations as needed to facilitate development and to manage risks
Communicate with Congress, state legislatures, and state and federal agencies on relevant topics (this may be delegated to staff attorneys or SMEs where applicable)
Ability to work well independently and in a team/process oriented environment in a positive and supportive manner
Ability to formulate and communicate strategic level direction for compliance content development
Ability to take strategic level direction and translate into tactical direction
Strong leadership and resource management skills
Considers employees’ strengths and development areas when assembling teams and sourcing quality talent
Excellent problem solving/analytical ability
Ability to manage resources effectively and to set priorities
Appreciation for and familiarity with technology and software development methodologies
Creativity and flexibility in a changing environment essential
Builds effective relationships
Maintains customer focus
Embraces and leads change
Uses excellent business and legal judgment
Makes timely decisions
Focused on results
10 years business or practicing law, with at least 7 years previous management or equivalent experience
Demonstrated experience leading, directing, and managing a sophisticated compliance content operation
Strong motivational skills with the ability to hold people accountable
Proven track record of producing positive results, assisting in the overall growth of content development and developing productive people
Demonstrated experience working with value added research content that has been indexed for point of practice look up and decision making, or for the creation of transactional content in any setting
Highly developed interpersonal skills within a variety of relationships and settings
Consultative, collaborative, and team-oriented management style
Experience in defining and assessing measurable results, strategy development, assessment techniques, and process orientation

198

Director, J&J Regulatory Compliance Resume Examples & Samples

Support the sector regulatory compliance function to achieve a compliance framework that focuses on oversight and execution, in a systematic way, to enable proactive compliance success in delivering business needs across operating units
Partner with the Business/Franchises, Supply Chain & JJRC compliance leaders to support operating unit compliance organizations and to build a compliance network for consistency and leveraging opportunities to achieve both strategic and tactical results
Support successful product realization and advice businesses/franchises and Supply Chain on compliance strategies. Understands compliance risk profile, proactively identify, communicate and prioritize compliance risks. Work with business partners to escalate and support the mitigation of compliance risk
Proactively identify and prioritize compliance risks at their assigned sites or across the supply chain in general
Serve as a key advisor and support for critical compliance activities as necessary, including due diligence, integrations, regulatory agency interactions, regulatory inspections, inspection readiness (including mock inspections), recovery/remediation, Quality System and Compliance Analysis, special investigations, critical new product strategies, and independent oversight of Internal Audit programs
Serve as a subject matter expert, as needed, to support proactive or reactive responses to issues including on-site support during regulatory agency inspections as well as review responses to regulatory agency inspections as necessary
Provide support, oversight and strategic guidance from a Sector perspective for significant regulatory compliance issues and inspections. Conduct, as necessary, independent monitoring and reporting
Actively participate in the lifecycle management process where compliance support is required (e.g. New Product launch, significant changes, etc.)
Support standardization and leverage of compliance policies, practices and compliance metrics across the Sector and assure alignment within JJRC
Support ERC as required in providing independent review and classification of all Regulatory Health Authority inspections and observations at all operating units
Support Enterprise Regulatory Compliance (ERC) as required in providing independent classification of severity of all Field Actions at all operating units
Ensure implementation of the escalation processes as aligned with Enterprise escalation processes. Assure operating units are fully complying with escalation processes
Support sector Compliance dashboards and reporting preparation for the Sector and Enterprise Q&C organization and Johnson & Johnson Compliance Committee as necessary
Conduct Independent Audit follow-up and recall follow-up assessments as necessary
Support the strategic alignment to the Global policies and standards
Assure the execution of the JJRC common practices for Independent Audit, Escalation(within JJRC), Recovery, Post Acquisition Assessment, Internal Audit Oversight and Inspection Support & Readiness
Support a framework and network of subject matter experts providing input to, appropriately influence, and interpret requirements of, Regulatory Agencies regionally and around the globe regarding regulations, guidance, regulatory pathways, or approaches
Work with operating units to identify, prioritize and ensure implementation of new and revised regulatory requirements and expectations. Support implementation plans for regulatory requirement changes including routinely monitoring and verification of implementation activities
Partner with Regional Regulatory Affairs Council, Regional Business/Market Quality, Regulatory Affairs colleagues, Government Affairs colleagues and Enterprise Regulatory Outreach (ERO) council to develop and share understanding of emerging issues and trends
Represents Regulatory Compliance (Asia Pacific) in applicable Q&C & JJRC LT Forums and Councils
Provide regulatory compliance support to ad hoc committees and projects as necessary
Position requires approximately 50% travel with peaks depending on issues

199

Senior Regulatory Compliance Legal Counsel Resume Examples & Samples

Develop awareness of Legal, Sales and Delivery teams on offerings and services regulatory compliance, and design and implement regulatory compliance training curriculum and appropriate trainings, working closely with the Legal Director, OGs and GPs General Legal Support, Technology Labs & Training, Knowledge and Capability Development
Develop actionable solutions and practical tools/recommendations/guidelines for regulated offerings and services for Legal Sales and Delivery teams and Business teams
Manage the development and maintenance of legal/compliance knowledge management capital
Exceptional experience providing services and regulatory compliance advices to the industry, with exposure as a transactional attorney of which involved management responsibility for other legal professionals
Global knowledge in the industry and/or businesses within this remit
An expert in regulatory compliance in various regulated areas within this remit
Strategic thinking and thought leadership
UK Qualified Solicitor with substantial PQE and or equivalent

200

Regulatory Compliance & Risk Management Professionals Resume Examples & Samples

1-5 years of experience gained in a leading consulting firm or a large multinational / national company in the banking sector
Excellent analytical and synthesis skills
Natural inclination to work in groups and highly results oriented
Excellent ability to build relationships with clients
Willing to travel both nationally and internationally

201

SVP Regulatory Compliance 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 HSBC in the US

202

Senior Regulatory Compliance Engineer Resume Examples & Samples

Contributes to advanced regulatory and standards research on new technologies, markets and geographic regions
Provides clear options and leadership for recovery plans as needed, displaying excellence in project management (identifying critical milestones, gating items and priorities, determining deadlines for deliverables on critical path, and communicating to cross-functional team members
Identifies compliance related risks, effectively communicates the threat and suggests best means for avoiding or reducing the risk
Leads compliance plan reviews and safety design review meetings for individual products, early in the design cycle
Mentors and provides guidance to less experienced Compliance Engineers (levels 1 & 2)
Effectively communicates the dependencies of other departments' deliverables on our project milestones and vice versa
Must possess experience in providing direction and taking the lead on regulatory input during the product design process. Experience with BT, Wi-Fi, or other short range devices, ESD, EMC, EMI and product safety testing and country certifications or homologations
Understands manufacturing and supply chain issues as they relate to phase-in of compliance-driven design changes
Experience reviewing nearly all EMC and safety design aspects for circuit design and PCB layout

203

Regulatory Compliance Audit Liaison Resume Examples & Samples

Facilitation, data gathering, review, and coordination of audit activities, RFI's, special request/projects
Assist in supporting activities such as disclosure statements, incurred cost submissions, FAR/CAS interpretations, Mandatory Annual Audit Requirements (MAAR), floor checks, internal controls, or other assignments as needed
Investigation and resolution of compliance problems, questions, or complaints received from other organizations within the company, government regulatory agencies, auditors, etc
Tracks and documents all requests and work assignments
Supports the Incurred Cost Submissions
Uses internal tools to support job duties; includes the use of reporting tools in data calls Will continually demonstrate knowledge of relevant FAR and CAS rules/regulations to assist in assignments
May identify and recommend to management areas for business/process improvement, compliance, or concerns regarding company polices/procedures
Bachelor's degree in Business/Accounting/Finance with 6 years of applicable work experience - OR - a Masters degree as described with 4 years of applicable work experience
Overall understanding of accounting, business systems, reporting systems, budgeting, estimating, internal controls
A practical knowledge of FAR, CAS, and other related rules, regulations, laws, or issued guidance (i.e MAAR, CAM ,DFARS, etc)
Proficiency with Microsoft Office Suite, specifically Excel

204

Regulatory Compliance Counsel Resume Examples & Samples

You will reinforce compliance standards and monitor, detect and prevent compliance deficiencies
You will watch, interpret and ensure compliance with new regulations and law changes for workers compensation, liability and commercial auto claims handling
Build and cultivate relationships with key regulatory bodies
Partner with colleagues in Compliance, Legal, and Claims Operations to ensure products, systems, processes & procedures are in compliance with statutory/regulatory requirements
Respond to regulatory, agency and governmental inquiries
Lead the resolution of regulatory claims issues arising out of examinations, audits, and inquiries and ensures remediation and appropriate preventive actions
Develop, lead and administer our compliance capabilities, including review of existing policies and procedures, compliance risk assessment, identify areas of continuous improvement and handle reviews
Supervise a claims compliance consultant
7 years insurance industry experience, primarily in the area of third party administration claims handling, compliance, operational, or supervision for P&C Commercial Lines
Solid working knowledge of claims handling
Demonstrated understanding of the P & C insurance regulatory environment
Capability to develop deep relationships. ability to consistently execute and deliver results

205

Product Safety & Regulatory Compliance Consultants Resume Examples & Samples

Provide on-site product safety and regulatory compliance support at client facilities
Serve as primary author of Safety Data Sheets and Product labels using various global formats
Provide current Safety Data Sheets for new products, changes to existing products, experimental products, etc., in support of clients business needs
Maintain a thorough knowledge of emerging technical and regulatory issues within the geographical areas of responsibility
Screen and evaluate substance study reports (i.e., environmental fate and effect studies, mammalian toxicology studies)
Develop hazard assessments, GHS Classifications, Safety Data Sheets, product and transportation labeling, etc
Perform multiple tasks within scope/budget/schedule expectations and ensure quality standards on project deliverables

206

QA & Regulatory Compliance Assoc Resume Examples & Samples

Be the Subject Matter Expert in clinical research billing requirements, including but not limited to Medicare/Tricare/Medicaid and commercial insurers, Qualifying Trials and National Coverage Determination
Create and maintain internal policies and SOP's to support entity-wide compliance with clinical research billing
Monitor new legislation or changes in regulations that might affect the Institution's compliance in regards to clinical research billing, recommending changes to administrative policies and procedures, as appropriate
Work with DUHS Finance, Compliance, Procurement and the Patient Revenue Management Organization (PRMO) to ensure research processes are correct and up-to-date. This includes, but is not limited being familiar with changes to the DUHS charge masters; how research charges in the system are affected; and communicating to the research community when research rates are amended
Work with School of Medicine Finance to create and implement a subject charge review process that ensures timely adjudication of all subject charges on federal and federal-pass though protocols
Conduct workshops/training sessions for faculty/staff/ and updates the research community regularly administrators regarding subject charge review
Provide regular reports to stakeholders [CRUs, Study Teams, School of Medicine finance, DUHS Compliance and the Office of Audit, Review and Compliance (OARC)] regarding trends and outliers in the finance and charge review process
Investigate errant charges and provide feedback to the School of Medicine and the PRMO Clinical Trial research builders on the function of the build; request need changes to the build and ensure that the new plan is applied to active subjects
Interact with appropriate persons/agencies (e.g. CRU's, Office of Research Administration (ORA), Office of Corporate Research Collaborations (OCRC) to resolve subject charge-related compliance problems)
Liaison with NIH clinicatrials.gov team to support clinicaltrials.gov at Duke
Assist the Associate Dean for Clinical Research with special projects related to financial and research charge processes
Supervises DOCR staff assigned charge review activities
Manage the subject charge review process for all clinical research billing. Correct charges consistent with the Maestro Care billing process and provide feedback to the Maestro Care builders, PIs, study staff, and School of Medicine and Departmental Leaders
Provide education and training to the research community and ensure that the information taught in all classes is current
Liaison with study teams, Regulatory Affairs, PRMO Clinical Trials Builders, DUHS Compliance and OARC, DCRI, DCI in support of the clinicaltrials.gov initiative at Duke
Confer with Associate Dean of Clinical Research in planning vision/expansion of DOCR services with regard to scope of incoming work, staff needs, development of staff skills, and other potential growth

207

Regulatory Compliance Supervisor Resume Examples & Samples

Mentor, develop and direct activities for Specialists
Serve as primary owner of controlled substances management tasks (sample and commercial shipments, ARCOS reporting, inventory, quota, registrations, etc.)
Serve as site representative on corporate Controlled Substance Council
Serve as compliance representative for material specification sheet change control
Serve as compliance representative for test method change control
Compile site specific quality metrics for managed areas
Direct or support process improvement design and implementation, including training other functional areas, in areas of responsibility
Support role in internal, customer and agency audits of the site
Ensure compliance with cGMP and DEA regulations as well as site SOPs
Assists the Regulatory Compliance Manager with other duties as assigned
CGMP regulations/guidance pertaining to Pharmaceutical industry
DEA Regulations
Fully competent in the use of common computer software – Microsoft Windows, Microsoft Word, Microsoft Excel, Microsoft Power Point, Microsoft Project, and Visio
Data entry and use of computer user interface tools including mouse, keyboard and any other applicable instruments

208

VP, Quality Assurance & Regulatory Compliance Resume Examples & Samples

Establishes overall quality assurance and regulatory strategy in partnership with senior management. Serves as key advisor to the PharMEDium business management on quality assurance and regulatory matters
Determines resources required to meet strategic objectives. Conducts organizational reviews to assure Centers are structured correctly and sufficiently coincide with changes in SOP’s. Drives change where necessary
Drives recruitment activity and assures the ongoing professional development of direct reports and the overall company quality/regulatory organization
Holds oversight responsibility for program management including stability requirements, media fills and product implementation at the facility level
Ensures licensures are compliant and current
A demonstrated ability to lead people and get results through others
Ability to positively influence groups to embrace a common philosophy
Excellent interpersonal/communication skills, interpersonal agility and self-awareness. Must have confidence when communicating with a variety of constituents including executive management, regulatory agencies and outside organizations as well as field staff in outsourcing facilities
Must possess strong analytical ability coupled with strong decision making skills
Expert technical, regulatory, compliance and problem solving skills
Experienced at process design
Proven ability to condense diverse, complex issues and concepts into a crisp, clear message for PharMEDium Regulatory/Quality staff

209

Head of Regulatory Compliance Commercial Banking Resume Examples & Samples

Minimum of a Bachelor degree. Masters degree is an asset,
Minimum of 10-15 years of proven and progressive Commercial Banking experience and/or experience
Wide scope of knowledge of CMB businesses, including products, operations, systems and organization
Full understanding of all significant Regulatory Compliance requirements applicable to CMB businesses (Bank Act, Securities Commissions regulations as well as SROs rules)
Well-developed communications, negotiation, analytical, organizational skills
Significant leadership experience and a strategic thinker
Experience dealing with regulatory matters and regulators
Ability to lead change in CMB, joining up with the other teams in Compliance and Business globally
Ability to effectively communicate ideas, actions and decisions and to influence business lines to achieve consensus on regulatory risk issues and mitigation
Strong leadership skills to manage a diverse team

210

Mgr Regulatory Compliance Resume Examples & Samples

Develop and implement regulatory strategies based on in-depth knowledge of applicable law
Remain current and serve as expert in pertinent product regulatory requirements across all serviced and targeted areas
Collaborate with product management on commercial strategy to bring new products to market
Provide expertise and oversight for all plant nutrition regulations pertinent to targeted geographies including countries in South America, North America, Africa, Europe and Australia
Research regulatory requirements of new opportunities to understand applicable regulations for Compass Minerals’ potential products
Lead R&D regulatory for product development to understand formulation restrictions as products are explored and developed
Obtain state and federal clearance for experimental field trials by collaborating with regulatory agencies
Prepare regulatory submissions and communicate with regulatory agencies or consultants to follow-through to certification
Provide oversight and advice on labeling to ensure consistency with pertinent regulations
Keep abreast of emerging regulatory requirements and how those changes will affect our industry
Work with plant/site management (including quality management) to provide guidance on regulatory issues
Utilize and monitor laboratory data for understanding of impact on regulatory approvals
Maintain the reputation of Compass Minerals as a responsible, innovative organization that openly collaborates with regulatory agencies and industry stakeholders

211

Co-op Regulatory Compliance Resume Examples & Samples

Current enrollment in a B.S. program with a major in Mechanical or Environmental Engineering
Minimum second semester sophomore status with 48 completed credits
Availability to work full time (40 hours or more per week) through a full co-op term running January to August 2017
The ability to enroll on a formalized co-op program through your college or university
Dependable, self-motivated and engaged learner
Ability to travel domestically, up to 10%

212

Senior TPM Regulatory & Compliance Resume Examples & Samples

Work with design teams to perform pre certification testing, EMI and ESD testing
Work with design teams to review for compliance and deployment related considerations
Create processes to ensure the Compliance Team communicates policies and processes – as it relates to regulatory compliance (FCC, BIS, ETIG, global)
Test production-level units to ensure in-production units continue to meet global certifications (FCC, BIS, ETIG Product Safety)
3+ years of EMI/ESD compliance testing and debug experience
3+ years in wireless product deployments
3+ years of product safety submission experiences with AC adaptors and consumer electronics core products (i.e. end product, including servers, agency critical components like internal hard drives, or internal/external power supplies)
Experience with ROHS, REACH and other environmental compliance experiences
International travel, as needed, up to 25%
Knowledge of ETIG application, ADPM registration, BIS registration, PTCRB, GCF, and global industry certifications preferred

213

Workers Compensation & Regulatory Compliance Program Specialist Resume Examples & Samples

Bachelor's Degree required OR 7+ years of working experience, industry certifications or training in those job tasks assigned is required
Ability to travel 10-20%
Ability to interpret and comprehend governmental regulations
Strong Project Management and leadership skills
Knowledge of company facilities, procedures, and people/departments is critical for success. A large internal network is optimal
Experience working in a team environment on collaborative projects including root cause investigations
Able to deliver and explain training materials to all levels of employees
Organized and effective at time management with strong multitasking abilities
Ability to work on global special projects where multiple interests intersect
Excellent communication and team leadership skills with strong managerial skills with the ability to interact and influence all levels of employees
Self starter able to work independently under minimal supervision
Must exercise discretion and independent judgment
One who takes ownership of their given areas of responsibility
Must be able to work with minimal supervision and guidance
Must display a 100% personal commitment to Air Liquide's safety objectives and to building a culture of Safety First
Must demonstrate sensitivity towards confidential business and personnel information

214

Ssme HC DI XP R&D Regulatory Compliance Engineer Resume Examples & Samples

Responsible for Implementation of IEC/EMC/CFDA/FDA and other country requirement into product design phase
Support licensing process for XP (X-Ray) products in China
Understand and implement regulatory requirement into product design
QIB issue/task regulatory related task owner
Support licensing process for imported XP and SSME XP products in China
Support SLC regulatory affairs in handling technical and product-related questions from CFDA and test house side
Perform CFDA tests for imported XP and SSME XP products

215

Quality Specialist, Regulatory Compliance Resume Examples & Samples

Minimum 3 years’ experience in Quality, Regulatory, Technical, or Manufacturing Operations in the area of regulatory inspections. Knowledge of cGMPs, document management collection and archival
Works independently with all levels of the organization, and has demonstrated the following skills: Rapid / Disciplined decisions, Acts with courage and candor
Drives results, Escalation of issues / concerns to management, as appropriate
Ability to Prioritize, Align and Simplify
A minimum of four (4) years of experience in the validation of computerized systems supporting the manufacturing in a GMP environment
Understanding of FDA regulations/guidance
Experience with different types of validation testing
Experience with Quality systems including change control, incident management, and deviation management
Reports to Associate Director, Regulatory Compliance
Interacts with employees within own department, from other departments and from other sites
Interacts with representatives from regulatory agencies / partners / Divisional Auditors
Knowledge of the manufacturing processes and support systems across the Durham organization
Experience with MIDAS, SAP and other database systems
Knowledge of CFR, Eudralex and other regulatory guidance specific to the pharmaceutical industry
Effective global communication skills (both written and oral)
Ability to multitask and manage/prioritize multiple projects and deadlines

216

Americas Head of Global Markets Regulatory Compliance Resume Examples & Samples

Providing line management and oversight of Global Markets Regulatory Compliance Officers serving US domestic business and business in the region, in accordance with the team structure as amended from time to time
Managing, either directly or via members of the team, significant regulatory investigations, exams and inquiries. Liaising with Compliance functions in respect of the implementation of appropriate Regulatory Compliance Risk Assessment and Compliance Monitoring and Surveillance processes to ensure the effective management of regulatory compliance risk in the Americas
Deputising for the Head of GBM RC Americas and assisting with the development of strategy for the continuous enhancement of the standards of Compliance support to Markets businesses across the region
Strong knowledge of US securities and derivatives rules and regulations, including SEC, FINRA and CFTC
Minimum of 15 years proven compliance and/or regulatory experience and 5+ years of supervisor/management experience. Experience of US Regulations essential

217

Head of Regulatory Compliance Global Banking & Markets Operational Effectiveness & Control Resume Examples & Samples

Develop and implement global, best practice standards, policies and procedures which are viewed as industry peer-leading to govern the GBM Regulatory Compliance Function
Communicate, implement and oversee major proposals for regulatory change and regulatory and law enforcement trends in relation to GBM Regulatory Compliance Function across a complex matrix of regulators and conduct issues globally
Manage a global team within GBM Regulatory Compliance Function with functional oversight
Manage and lead the required remedial action of all material GBM Regulatory Compliance control issues involving the region
This newly created role will provide subject matter expertise to LCOs, lines of business and support functions in the design and implementation of internal controls to address material compliance and regulatory issues identified and reported by RCMAT, CIU, BRCMs, regulators, or Internal Audit
Increasingly Regulatory Compliance is being required to define the control expectations, or detailed design that would be required to meet the regulatory expectations to manage regulatory risk. Under the current design of the department this expertise and responsibility is split between the various RC teams within the region, which results in uneven development and adherence to best practice
This new role will be responsible for developing the GBM RC best practice for the assessment of controls, for setting the minimum standards expected for different types of controls and approval of any specific controls implemented. Through the activities of existing teams the role holder will help to identify and remediate operational weaknesses, deploy tools to enhance controls and become more efficient by leveraging current and emerging new technology
This role will also be responsible for the challenge of the controls around GBM RC activities’ as Risk Steward and Control Owner. Through a program of review and challenge the role holder will help drive best practice in the controls implemented to ensure the accuracy of GBM RC’s own activities
Though focused primarily on the Americas region, this is a unique role that will be expected to drive forward improvements in the controls that GBM RC oversee as Risk Steward and manage as Control Owners
The role will form a key part of the Americas GBM RC management team
Strong background in compliance, audit or operational control within a financial services environment and be able to understand, interpret and apply complex regulatory requirements to business practices
Minimum of 15 years proven experience in a highly regulated area and 5+ years of supervisor/management experience
Bachelor’s degree
Proficiency with software packages including Microsoft Excel, Word, and PowerPoint

218

Director Compliance Regulatory Compliance Management Resume Examples & Samples

The incumbent is an active member of the management team and will provide counsel and direction on strategic decisions relating to the RCM program. This role requires active and ongoing relationship management within the business line with key stakeholders
Develop strategies and implement end-to-end process design and automation, analyzing and documenting current and potential future state that relates to the RCM program. Additionally, providing guidance and knowledge in process redesign, change management and reengineering methodology
Design, develop and maintain monitoring and testing as it relates to the RCM Project
University degree – Business, Law, Accounting/Finance or a related field

219

Regulatory Compliance FIU Team Ldr Resume Examples & Samples

7 or more years Bank Secrecy Act and Anti Money Laundering risk management compliance, financial services operations, compliance and legal. (Required)
7 or more years Familiarity and full circle knowledge of the standard banking products and services including workflows. (Preferred)
7 or more years General working knowledge of banking operations, including but not limited to the following: core banking systems, transaction processing, policy and procedural workflows of products and services. (Preferred)

220

Regulatory Compliance Engineer Resume Examples & Samples

Provide in-depth regulatory/technical expertise to develop, manage, and implement regulatory analyses, activities, and programs, as well as identifying and resolving regulatory issues
Oversee the identification and application of elements of the corrective action process, including problem identification, failure analysis, root cause analysis, problem correction, recurrent control and verification of effectiveness
Conduct internal audits of management systems and assign corrective actions as necessary
Recommend new concepts and techniques to improve performance, simplify operations, reduce costs, reduce the regulatory burden, correct non-compliance, and ensure over adherence to regulations
Bachelor’s Degree in an Engineering field
Five or more years of experience within an ISO or government regulated environment
Experience within the Aerospace Industry with exposure to AS9100 and FAA regulations preferred
Knowledge and experience with Environmental Management Systems (EMS) is highly preferred

221

Regulatory Compliance Environmental Engineer Resume Examples & Samples

Provide leadership and technical expertise in the areas of environmental regulatory compliance requirements during the product development cycle
Work closely with Marketing to prepare and validate plans for new products in a global market
Develop and implement a process to obtain and/or maintain product environmental regulatory certifications
Ensure all product lines meet the global environmental requirements, such as RoHS, REACH, WEEE, Indoor Air Quality, and Acoustic Noise
Assist in the application of all applicable government, industry, and company environmental requirements to provide global product compliance
Develop, document and maintain internal environmental compliance specifications on a product by product basis
Provide guidance to electrical and mechanical engineers on the appropriate action in response to regulatory initiatives
Keep abreast of and distribute information on environmental trends, technologies and upcoming requirements to related R&D staff through meetings, presentations, and other media on a regular basis
Engage with external 3rd party agencies as required in achieving compliance directives
Minimum 5 years experience in environmental regulatory compliance (RoHS, REACH, WEEE, Indoor Air Quality), design engineering, and/or project management
Extensive knowledge of environmental regulatory guidelines and requirements, including RoHS, REACH, WEEE, Indoor Air Quality, and acoustic noise with respect to Prosumer and Industrial equipment
Strong data research and data analysis experience
Experience in researching literature, standards, and industry for advanced technology in an effort to stay ahead of the curve in emerging designs
Strong written and verbal communication skills, and the ability to write clear and precise technical reports and presentations
Ability to communicate and work cross-functionally across all levels of the organization
Proficient with Microsoft Office (Word, PowerPoint, and Excel)

222

Regulatory Compliance Scientist Resume Examples & Samples

European Food Legislatio knowledge will be an asset
At least 1 year of experience at a manufacturing organization in food industry
Experience on a similar position (Scientific & Regulatory Affairs, Quality, R&D) will be a huge asset
Flexibility and priority Setting skills
Self-starter, Drive for Results
Applying procedures
Other EU languages (French, Italian, German, Dutch) will be an asset

223

Senior Clinical Research Regulatory Compliance Spec Resume Examples & Samples

Education and experience level equivalent to a Bachelor’s degree and a minimum of five years of work experience in compliance oversight of clinical trials (monitoring, QA or auditing), study coordinator, project management, or combination thereof in any of the following environments: Academia, Pharmaceutical Industry, Contract Research Organizations (academic or private sector) or Site Management Organization (academic or private). Masters Degree with advanced science preferred
An in-depth knowledge and experience in the application of Good Clinical Practice (GCP) requirements is desired (e.g., ICH, FDA, etc.). Familiarity with the essential documents related to clinical studies, medical terminology and routine medical tests and procedures. Familiarity with computerized clinical data collection systems and biomedical statistics is preferred
Ability to respect and protect highly sensitive and confidential

224

VP, Federal Regulatory Compliance & Systems Resume Examples & Samples

Effectively communicate in person and by telephone with supervisors, direct reports, employees and external contacts
Read and understand written documents
Communicate information and ideas in written or electronic form in order for others to understand
Work full-time and maintain regular and predictable attendance. Able to work occasional evenings and weekends
Travel up to 20% of the time in a safe and expeditious manner, including overnight travel
Bachelor's degree in a related field from an institution accredited by an accrediting agency recognized by the US Department of Education. An MBA, JD or CPA license is preferred
A minimum of 10 years related experience
Proven educational or administrative experience in solving complex problems for individuals. Experience with analyzing and identifying the strengths and weaknesses of options and exercising critical thinking, problem solving, and judgment skills. Ability to analyze risks and identify ways to mitigate those risks. Proactively and proficiently able to diagnose problems and identify solutions
Possess excellent interpersonal, influencing and collaboration skills. Able to present results to all levels of management and public. Able to work with a variety of disciplines and levels inside and outside of the organization
Ability to respond effectively to the most sensitive inquiries or complaints in writing. Ability to organize and write reports and presentations in original or innovative techniques or style on controversial or complex topics to top management
Skilled in recruiting, interviewing and hiring new employees. Experience in supervising employees with ability to assign work, train employees, and conduct job performance reviews. Able to foster a positive and productive work environment with ability to lead, build teams and motivate staff
Efficiently utilize a personal computer and related software including Microsoft Office, departmental specific software and Internet proficiencies
Apply and maintain a broad knowledge of principles, practices, procedures, laws and regulations
Able to work independently with minimal supervision while maintaining high level, quality work and output. Proven ability to work in a fast-paced, dynamic, results-oriented environment
Proven track record of project completions on time and within budget or other constraints. Past history of quality attention to detail

225

Intern, IT Regulatory Compliance Resume Examples & Samples

Assist with control inventory, rationalization, scoping, design and document
Someone interested in Business, Audit and IT
Collaborate with other functional areas on various projects as needed
Full-time student in an accredited 4 year college, graduate program or Preference given to students with 3.0 GPA or above
Motivated self-starter; Excellent verbal and written communication skills; Attention to detail; Excellent analytical skills; Creative and resourceful; Strong business aptitude; Knowledge of the PBM or healthcare industry preferred; Dates of Internship are May 15th-Aug 4th, 2017; Students must be available to work M-F 8am-5pm during this time frame

226

Senior IT Regulatory Compliance Resume Examples & Samples

Accountable for the successful and timely completion of audit activities
Act as a program manager across compliance activities. This includes
O o Developing concise and meaningful weekly / monthly risk scorecards and project summaries for management and operations teams
Bachelor's Degree and 8-12 years of experience
O o Sarbanes-Oxley Act (SOX)

227

Regulatory Compliance Coordinator Resume Examples & Samples

Develop, implement and periodically review processes and policies related to compliance with these federal and state regulations. Prepare and communicate procedures to employees and management to assure compliance with same regulations
Monitor and review company activities to assess level of compliance with existing and proposed federal, state, or industry legislation and regulations. Maintains compliance documents and databases, coordinates preparation of such documents from other departments. (As specified by position)
Participate in external compliance inspections performed by state and federal regulatory personnel and periodic testing of internal compliance procedures, issue assessment and audit findings. May use and direct outside resources to assess and audit for compliance. (As specified by position)
Review external audit findings and prepare and submit responses to the appropriate state or federal agency. Recommend and implement required changes to internal procedures or compliance processes per audit findings. (As specified by position)
Establish and maintain working relationships and actively participate in industry and national regulatory compliance groups and related activities
Provide regulatory compliance assistance and reporting services, as required to comply with listed regulations
Maintain and monitors websites for regulatory compliance, examines and makes recommendations and changes to training materials for regulatory compliance
Monitors, participates in and communicates on development of standards, coordinates and works with various departments in the implementation of the standards related to compliance with listed regulations
Develop and deliver training including but not limited to external regulations and internal processes and policies (As specified by position)
Employee may be required to perform additional duties as assigned
Regular and reliable attendance is required in performance of job
Working knowledge of transmission pipeline regulations
Application of math and analytical processes
Experience in use and function of desktop computer applications such as Excel and Word
Experience and training related to

228

Regulatory & Compliance Documentation Specialist Resume Examples & Samples

Assure accuracy of data within the database
Prior experience managing administrative classes such as users, groups, access security, system rules and conditions within a Product Lifecycle Management or Specification System. Preference for this experience to be with Siemens RnD Suite
Experience optimizing Product Lifecycle processes within a Consumer Package Goods business processes used for the management of documents and administrative objects
Minimum 3-5 years’ experience with food manufacturing operations and QA programs and related regulatory experience
Demonstrated proficiency in the use of regulatory databases such as Siemens
Experience with the New Product Development Process is preferred

229

VP Regulatory Compliance Strategic Initiatives Pay to Play Resume Examples & Samples

Ability to understand similar requirements existing in different regulations to create a set of common program requirements for HNAH (see Rule 206(4)-5 of the Investment Advisers Act of 1940 and Rules G-37 and G-38 of the MSRB Rule Book). Develop key controls and minimum testing requirements for the applicable Businesses
Prior experience with “Pay-to-Play” requirements or demonstrated ability to understand the requirements and create a fit-for-purpose program for HSBC’s US Businesses
Banking experience required. J.D. is a plus

230

Director Regulatory Compliance Resume Examples & Samples

Directs and establishes priorities for the Company’s Environmental Program
Recommends annual corporate environmental compliance goals and objectives
Provides regulatory interpretation guidance to operations to support consistent implementation of federal, state and local environmental regulatory requirements
Works with operations management to develop environmental regulatory solutions for achieving business and compliance goals
Track status and support company-wide permitting activity including new permits, renewals and modifications
Directs and monitors interaction with regulatory agencies related to permit activity, enforcement actions and strategic initiatives
Develops, implements, and oversees environmental data management systems for collecting and tracking data
Directs the US Ecology Internal Environmental and Safety Audit Programs in order to evaluate regulatory compliance risk, and partners to develop compliance solutions
Drives knowledge sharing through company-wide sharing of lessons learned through incidents, corrective actions and best practices
Monitors and manages company liabilities associated with use of outside waste management vendors
Supports corporate business development activities by conducting environmental due diligence of potential acquisitions and business ventures
Education/Experience
Certifications, licenses, registrations
Language Skills
Mathematical Skills
*NO THIRD PARTIES OR RECRUITERS PLEASE.***

231

Global Head Regulatory Compliance & Risk Management Resume Examples & Samples

Engage influential opinion leaders and regulatory agency representatives, participate in industry activities, and ensure Novartis influence into new and changing regulation and policy related to pharmaceutical development
Ensure routine regulatory intelligence activities are performed by the function or network partners, and establish effective communication and feedback channels
Ensure quality oversight of key compliance-relevant activities in regulatory affairs, and adherence to quality standards globally and locally, e.g., regulatory submissions to Health Authorities, labeling and safety label changes, assessment and execution of change requests in RegCMC and medical device management
Ensure quality oversight for RA compliance activities, including deviation handling and trending assessment, investigations and escalations, exception requests, KQI reporting, RA-owned controlled documentation, and self-inspections
Provide quality support for key transformational projects (e.g., due diligence activities) in relation to purchase of companies/products. Maintain inspection readiness, and ensure appropriate preparation of HA inspections and internal audits
Oversee the development, management and completion of timely, relevant and high-quality responses to HA inspection and applicable audit observations
Work closely with Clinical QA to ensure submission and inspection readiness for key submissions
Proactively approach submission and inspection readiness activities
Drives improvements to existing tools and/or new systems, as required to proactively manage risk across QA and the business areas of Development
Develops, updates controlled quality documents, procedures, business processes and systems to reflect current standards and best practices in quality and compliance
Drives the production of metrics and the interpretation of them to provide continuous improvement across GDD
Leads, coordinates, & participates in global and local QA projects and initiatives as per business requirements
Provides direct ICH GCP/Regulatory consultation to Clinical QA and clinical development associates across General Medicines, Oncology GDD, NIBR Translational Sciences
At least 10 years of demonstrated leadership and accomplishment in regulatory affairs in a global/matrix environment in the pharmaceutical industry
Demonstrated experience of successfully leading a medium/high impact project or projects
Strong knowledge and expertise in clinical operations and processes and excellent GxP knowledge
Demonstrated leadership in implementing robust quality systems and setting global quality standards in a regulated area
Demonstrated experience and extensive track record in successfully managing and leading large cross-functional and interdisciplinary teams with high organizational impact
Strong leadership and people management skills, with ability to successfully lead

232

Regulatory Compliance Auditor Resume Examples & Samples

Assist in establishing detailed audit programs to monitor and assess health plan operations and policies and procedures within all major functional areas including customer service, enrollment and eligibility and claims processing. Assume responsibility for all aspects of assigned audits from the development of the scope document to the creation of the final audit summary report for management review
Coordinate and/or perform compliance audits of delegated services provided to Medicare Advantage (MA) and/or Prescription Drug Plan (PDP) sponsors as well as other delegated activities in accordance with established compliance audit protocols to identify program vulnerabilities and to ensure strict adherence to regulatory requirements
During audits, will review policies and procedures, works flows, organizational charts, encounter and claims related documents. Will conduct walk-throughs of various departments and processes to ensure that each step of the processes are in order and compliant with delegated and regulatory requirements
Prepare audit reports with details of findings and proposed corrective actions, when necessary
Utilize appropriate statistical methods and standard auditing procedures when appropriate (determination of appropriate sample size, random selection, establishment of materiality levels)
Work with quality and compliance departments to develop baseline data in order to identify outliers and trends
Stay abreast of developments in industry auditing standards as well as applicable federal and state guidelines, policies and procedures

233

Regulatory Compliance Investigator Resume Examples & Samples

Review pertinent documents and gather relevant facts related to the potential noncompliance event to assess compliance
Work with organizational unit representatives and subject matter experts to perform cause evaluations of the potential noncompliance events and develop mitigation plans to minimize the risk of future similar noncompliance events
Interface with regulators to respond to data requests and regulatory inquiries; participate in settlement negotiations with regulators; execute settlement agreements; and manage penalty payments
Prepare regulatory filings for reporting of noncompliance events (e.g., self-reports, mitigation plans) and obtain officer approvals; submit regulatory filings to the regulator; and monitor associated regulator activity
Three (3) years of experience in conducting investigations, other assessments of potential noncompliance events, or performing cause evaluations; or experience in SCE’s transmission, distribution, generation or IT operations, maintenance or test
Three (3) plus years of experience in conducting investigations or other assessments of potential non-compliance events, performing cause evaluations, or tracking down operational, software or maintenance issues
Working knowledge of power delivery and SCE maintenance practices
Three (3) plus years of experience in interpreting CPUC, FERC or NERC regulations, and developing or assessing controls to help ensure compliance
Leading cross-organizational teams and ability to resolve issues in a timely manner to achieve project results
Ability to plan, organize, manage and schedule multiple investigations or projects simultaneously with minimum direction, often under tight time constraints and changing priorities
Experience obtaining factual information through interviews and the review of documentary material
Experience preparing oral and written investigative reports or similar documents
Strong analytical, problem solving, strategic thinking and decision-making skills and the ability to analyze regulatory and business problems and create innovative solutions
Ability to rapidly learn and assimilate complex and technical information in unfamiliar situations and be able to systematically gather relevant information from different sources to identify and manage resolution of problems or issues
Strong interpersonal, oral communications and consulting skills for building relationships, fostering two-way communications, interacting with all levels of management, and building and maintaining relationships with stakeholders, regulatory agency staff and external auditors
Ability to effectively communicate complex, sensitive, strategic, and sometimes unfavorable information in a concise and straightforward manner
Strong written communication skills including the ability to develop effective presentations, data request responses, testimony and other regulatory filings
Experience in identifying and evaluating modifications to Company and/or organizational unit internal controls, policies, processes, and systems and experience consulting with senior and executive management about such recommendations

234

EEO / Regulatory Compliance Consultant Resume Examples & Samples

Coordination of Action Oriented Programs for each Controlling Establishment
Collaborate with Recruitment, Human Resources and Diversity & Inclusion to assist in identifying national and local targeted Outreach Efforts specific to women, minorities, individuals with disabilities and protected veterans
Provide guidance and support to Recruitment and Human Resources to schedule local targeted outreach efforts
Partner with Recruitment, Human Resources and Diversity & Inclusion to establish and maintain local employment partnerships
Monitor and manage outreach activity documentation
Monitor and manage completion of outreach event post-survey
Analyze post-survey data for effectiveness of outreach events
Prepare and submit FCC 396-C Reports annually
Assist with OFCCP audits as needed
Other projects/assignments as needed specific to Regulatory Compliance

235

Regulatory Compliance Rep Resume Examples & Samples

Investigate Company actions of PUC regulations and internal procedures for gas and electric accounts
Preparation and completion of reports and related case documents for informal complaints through investigation of Company actions and review of internal procedures for gas and electric accounts
Identify, investigate and respond to violations revealed during case review, discuss with supervisor and alert when case information is not received in a timely manner
Intake of mediations and consumer complaints from BCS and distribution of BCS decisions. Serve as resource for peers within the Company. Prepare and submit special compliance reports as required. Record maintenance duties: stay register upkeep, filing. Assist with work share - Compliance Overview. Monday Plan and Outreach
Expertise of Chapter 56 and Chapter 14 regulations, and UGI Gas/Electric Tariff
Full knowledge of UGI Credit and Collection, Billing, and Universal services, policies and procedures
Ability to work independently, conduct thorough investigations, and make good decisions
Effective Verbal and written communication skills
Full understanding and the ability to navigate within the CIS and ECIS main frame

236

Senior VP Americas Head of Regulatory Compliance HSS Resume Examples & Samples

Conducts visits to each country / business on a rotational and risk-assessed basis. Typically, each country should be visited once every 18 months subject to any trigger events
Minimum of 15 years operations, compliance and/or legal management experience, or equivalent, with proven and progressive financial services institution
Broad scope of knowledge of assigned businesses, including products, operations, systems, and organization and full understanding of all significant regulatory compliance requirements applicable to assigned business(es)
Excellent interpersonal and communication skills (verbal and written)

237

Regulatory Compliance Coordinator Resume Examples & Samples

Maintain and post OSHA log as required by law
Create and update evacuation maps; design and conduct emergency preparedness *drills
Determine appropriate earthquake preparedness information for dissemination to *employees
Responsible for fire prevention and suppression equipment, information and *training
Responsible to maintain an active emergency response team and train appropriate *personnel on chemical spill response
Administer MSDS and AQMD program
Provide information on proper handling, labeling and storage of hazardous *materials and ensure that appropriate personnel are trained as required
Ensure that confined space hazards are identified, personnel trained as required *and equipment and information are up to date

238

Mgr Regulatory Compliance Resume Examples & Samples

Provides business direction and ensures regulatory compliance for all gas mains, services, and transmission lines
Provides technical guidance in the design, operation and maintenance of cathodic protection systems
Develops strategies for improving both productivity and cost competitiveness while maintaining quality
Develops and tracks program performance vs. plan
Interfaces with and builds credibility with the PUC
Routinely leads/participates in projects outside of corrosion group. (e. g. , safety programs, company initiatives)
Direct Reports; (43)
2 - Senior Operations Work Control Analysts
1 - Operations Coordinator
2 - Supervisors
4 - Foreman
34 - Mechanics
Budget: $24M annually
On the PECO Energy gas distribution system: Manage Corrosion Compliance including 7272 annual periodic readings. ; Manage maintenance and repair of corrosion control systems. ; Manage mobile leak survey of 3000 miles per year. ; Manage service leak survey of 110, 000 per year. ; Known leaks are to be re-surveyed every 180 days to maintain compliance. ; Manage contractors that perform Indoor Gas Meter Leak Survey for 79, 000 customers. ; Manage various regulatory inspections and corrective maintenance task completion including: emergency valve, regulator stations, bridge, and transmission line

239

Senior Regulatory Compliance Engineer Resume Examples & Samples

Degree in Electrical Engineering, or relevant field
10+ years’ experience as a Regulatory engineer with a strong background in telecommunication design and EMC/Safety testing
Multi-disciplined in the areas of Safety, EMC, Radio, Telecom, Environmental
Experience working with multiple global and country-specific certification bodies e.g. CSA, Anatel, CQC, ACMA
Detailed familiarity with European Directives such as EMC, LVD, RTTE, RED, RoHS, REACH
Familiarity with internationally adopted standards such as 60950-1, 55022, 55024, 301 489, 301 406, 300 328 etc
Skilled at EMC/Radio emissions and immunity debugging and testing
Work in a team environment supporting the development phase of new products including but not limited to schematic /PCB design reviews
Strong technical writing/editing skills to review and manage written controls and governance documents (e.g. SOPs and guidelines)
Excellent strategic thinking, analytical, and problem solving skills that are pragmatic and which demonstrate a strong understanding of the business
Proven track record in being able to analyze complex situations to determine root cause

240

Regulatory Compliance Supervisor Resume Examples & Samples

Review product labels (new or revised) for "completeness" and accuracy with regards to State and Federal regulations. Must give or designate final acceptance to all new or modified labels for Companion Animal (CA) and Aquatics (AQ) chemical products, hard goods, grooming, etc
Supervise international projects and registrations
Supervise regulatory compliance associates and specialists assigned to product renewals and tonnages for all chemical products as required. Supervise Regulatory Associate for Chemical Products and International Registration
Manage regulatory projects through the New Product Development (NPD) process as they arise, for example changes to regulations which require label changes such as Prop 65
Review export orders and shipment orders as needed for compliance
Interface with Germany and other source vendors for product label compliance
Interface with, and make full use of, Legal Department and outside consultants with regards to compliance issues
Interface with state inquiries regarding Stop Sales, labeling issues and other
Support CA & AQ Product Managers regarding new or modified label claims and format. Recommend acceptable terminology and allowable claims based on efficiency and scientific test data as supplied by the source of the product and legal guidelines
Manage the Wercs database and all entries as needed
Bachelor's degree in Chemistry, Biology or other science, Regulatory or related field
5+ years’ experience in regulatory or related field preferred
Experience with federal and state regulatory agencies. International regulatory experience preferred
Specific experience with FDA, Prop 65, and/or International regulations preferred
Articulate and able to communicate effectively throughout the organization and to external professionals and regulators
Knowledge of SAP and Cubes a plus
Knowledge of the Wercs database a plus

241

Bank Regulatory Compliance Resume Examples & Samples

Background in bank products and services, support functions and regulations
Background in producing performance and risk metrics
Experience with project workflow tools
Experience with MS Outlook, Excel, Word, PowerPoint
Data management, project management,
Bank regulatory, bank examination, bank operations
Bachelors of Science
Professional certification in project management, data management programs
English (French a plus)

242

Federal Advisory Pdm-regulatory & Compliance Resume Examples & Samples

Typically has 3 or more years of consulting and/or industry experience
Experience in supporting the identification, assessment, measurement, prioritization, response, monitoring and/or reporting on a wide range of risks expected for a federal agency
Ability to support the development of innovative risk analysis frameworks and apply risk management solutions and/or techniques. Good executive presence, client presentation and deliverables development
Experience leading ERM implementations

243

IT Lead, Regulatory Compliance Resume Examples & Samples

Bachelor’s Degree in Information Technology, Computer Science, or any other Scientific or Technical field required
Minimum of 3 years of experience in Quality and Regulatory Compliance global and regulated healthcare environment
Experienced knowledge of Quality System regulations, ISO, ICH, PIC/S, and cGMP regulations, including Annex 11, 21 CFR Part 11, Part 210, Part 211 and Part 820, and how these apply to Computer Systems required
Experienced with IT internal controls, SDLC methodologies, GAMP5, and data integrity requirements required
Experience interpreting regulations and translating regulatory requirements into practical strategies required
Demonstrated experience in writing compliance documentation as well as the ability to analyze and interpret regulatory documents is required
Excellent verbal and written communication skills and the ability to influence, negotiate, inspire trust, and quickly build credibility to enable the achievement of mutual goals
Strong skills in interdependent partnering to facilitate collaboration and the ability to work effectively in a virtual team environment
Ability to perform work with a high degree of independence and proven experience in driving progress and remaining focused under ambiguous and complex situations.Info Technology

244

Regulatory Compliance Project Manager Resume Examples & Samples

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Other minor duties may be assigned
Ensure compliance with client and government regulations by performing necessary inspections and reporting. Resolve all issues in a timely manner
Administer client and vendor financial obligations including invoicing, reporting and contracts
Ensures project meets all regulatory compliance requirements
Direct supervision of approximately 0 to 10 full-time operations level employees
Experience: 5 years of regulatory compliance experience (in addition to education requirement)
Strong leadership and relationship building skills
Self-motivated and directed with a keen sense of urgency to deliver results

245

Programme Leader Regulatory & Compliance Resume Examples & Samples

Maintain a high level understanding of regulatory and compliance policies
Ownership of assigned projects from scoping to completion
Accountable for assigned project deliverables
Manage capabilities and resources in response to changing business dynamics
Define and monitor policies and procedures in programme scope
Manage external project resources which includes multiple vendors
Establish effective stakeholder management with business and front line organisations
Maintain business continuity during ongoing IT landscape changes or developments
Comply with full project reporting & governance to IT PMO
Manage dependencies
Provide people management and development
Implement high quality programmes
Acts as escalation point for issue resolution
Has leadership responsibility for project team
Own and manage project budgets
Ensure that the business strategy and the IT strategy are in alignment in an efficient, sustainable, agile and adaptable manner
Bachelor degree in Computer Science or related experience / certifications
5+ years experience in Project Management
Proven leadership experience and people management skills - Atleast 10 years experience
Experience driving a culture of change, transformation and continuous improvement in an IT leadership role
Setting strategic direction & business transformation
Good analytical skills, innovative and problem solving skills
Strong communication and advisory skills

246

Dir Nerc Regulatory Compliance Resume Examples & Samples

Oversees the various AEP business units’ overall compliance workflow to ensure the required coordination of the process and procedures to support the NERC Compliance monitoring and enforcement functions per the NERC Rules of Procedure and Regional Entity audit schedules
Directs and ensures the strategic development of policy, protocols and procedures at the corporate level in support of consistency and uniformity
Assists with resolving NERC Standard interpretation issues
Directs AEP’s NERC incident management process, including overseeing investigations and mitigation plan development
Responsible for AEP’s relationships with NERC and the regional entities and directs the primary compliance contact function
Directs and leads AEP’s overall facilitation, coordination and development of comments and balloting positions on NERC and Regional Reliability draft Standards
Directs external advocacy efforts with FERC, NERC, and the regional entities for NERC compliance issues
Responsible for leading, coordinating and facilitating AEP’s Corporate Reliability Compliance Committee (RCC) which is comprised of AEP’s senior business unit executives. Provide strategic guidance and direction for complying with new and emerging NERC Reliability and CIP compliance standards
Oversees impacted business units’ compliance plans, policies and processes by establishing measurable goals, metrics, objectives and requirements relative to AEP’s Reliability Compliance Program and presents for review and approval by the RCC

247

Product Regulatory Compliance Leader Resume Examples & Samples

Bachelor's Degree from an accredited college or university in a legal or technical field (or high school diploma with 10 years relevant product regulatory experience)
Minimum of 5 years product regulatory expertise in Korea and demonstrated understanding of product regulation process – advocacy, legislative, government structure
Minimum of 3 years of experience working cross-functionally to create the methods and requirements to place and maintain products on the Korean market
Korean speaker who can communicate with Regulatory body and related committees
Master’s Degree from an accredited college or university in a legal or technical field
Experience working in a highly regulated industry, preferably with time spent directly in product regulatory roles
>10 years relevant manufacturing, quality or product regulatory compliance experience
Knowledge/Experience with government affairs or working with government authorities
Proven ability to work cross-functionally and with global, virtual teams
Passion for people development, and willingness to take risks
Proven mentoring and coaching abilities; demonstrated ability to motivate & inspire others
Excellent communication, influencing skills and ability to influence and collaborate effectively across functions
Demonstrated ability to deliver results while working on multiple projects simultaneously, balancing resources, timing and quality of outcomes
Demonstrated ability to work outside of reporting structures

248

Regulatory Compliance Associate Resume Examples & Samples

Assists with any recall actions as well as to gather data as needed to assist with any recall actions
Performs/Assists with internal quality system audits for compliance to domestic and international regulations/standards and documents results for management review
Maintains the CAPA system. Reviews and approves CAPAs; participates in the CAPA Board. Conduct, write, and own CAPA investigations to determine the probable and verified root causes for nonconformities/out-of-specification events. Assist CAPA Process Owners with the planning, implementation, verification, and documentation of Corrective and Preventive Actions
Monitors the success and effectiveness of completed corrective actions that all ensure that all regulatory requirements are met
Ensures that the CAPA systems resulting from investigations of complaints, product rejections, recalls, deviations, audits, regulatory inspections and findings, and trends, etc. provide proactive approaches to identify, evaluate and control risks to quality
Participates in external quality system audits conducted by FDA, notified bodies, other country regulatory agencies (ANVISA, KFDA, PMDA), and Zimmer Biomet personnel or consultants
Schedules and performs routine collaborations with CAPA owners, interface with CAPA Coordinator to perform timely processing of assigned CAPA files
Reviews and approves software & process validation changes to ensure compliance to domestic and international regulations
Assists in preparing quality system reports and generation of data to compile in reports
Other activities as assigned by Manager

249

Adv Regulatory Compliance Representative Resume Examples & Samples

Completes required regulatory activities in support of drilling operations including tracking of well in the drill ready tracker, proofing and approving plats, filing regulatory notification/forms (e.g., SWR 37/38, P12, H9, etc.), filling for drilling permits with state and city
Prepares and files GW-1 with the Groundwater Advisory Unit
Prepares and files alternate surface casing permit as needed
Prepares and submits Injection and Saltwater Disposal Permit
Completes annual P-5 Authority to Operate filing including communicating relevant requirements to operations, preparation and submittal of W-3C, obtaining Letters of Credit for Texas Operations, and tracking inactive wells
Prepares and submits completion reports
Monitors flaring volumes and requests permit renewals
Completes and submits Surface Commingling Permits
Monitors production reports to verify classification of wells, production volume, lease identification and commingling permits match
Works with Workover Team to file Well Record Only’s (WRO) to TRRC
Reviews proration schedule and submits necessary documentation to maintain allowables
Tracks and compiles well logs for TRRC following confidentiality period
Prepares and submits other required regulatory submittals including filings related to bonding, production disposition, commingling, city permits, annual submittals, well integrity testing, notice of violations, etc
Evaluates newly constructed pipeline segments to determine permit requirements
Prepares and submits permit documents and maintains permit records
Monitors status of regulatory submittals and follows up with regulatory agencies to ensure timely submittals and approvals
Assists in the development of compliance systems and documents to ensure ongoing communication of compliance issues to Eagle Ford Regulatory Compliance Supervisor and Asset Team
Understands current regulations and their impact on the Eagle Ford Asset
Establish and maintains good working relationships to help ensure Marathon lives its values with key stakeholders, including team members, contract companies, regulatory agencies and members of the public
Assumes position in on-call rotations
Maintains familiarity with Asset’s emergency response plans and incident command system and fulfills role in the Asset’s incident command structure as assigned

250

Director Regulatory Compliance Resume Examples & Samples

Manage a large QA team of around 40 graduate auditors, providing services in Edinburgh and to various locations around Europe
Optimise auditing processes and standards within Charles River Edinburgh
Ensure through training and development programmes that staff are equipped with up-to-date knowledge of industry standards, regulatory requirements and required auditing skills
Maintain contact with regulatory organizations, industry groups and other sources to ensure contemporary perspectives on compliance
Provide regulatory guidance to Charles River staff and clients when necessary
Implement performance metrics to drive the quality programme
Oversee commitments to clients and regulators, ensuring corrective and preventative actions are fulfilled
Support and promote corporate wide processes

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