Regulatory Compliance Resume Sample
Elyssa Stamm
13175 Mann Cliff,
Philadelphia,
PA
+1 (555) 709 2340
Work Experience
Senior Regulatory Compliance Engineer
12/2016
-
PRESENT
Boston, MA
- Assists the Americas Head RC GBM Global Banking in executing the overall compliance strategy
- Provides leadership and guidance in execution of the Global Banking Annual Compliance Plan in US, as articulated in the Compliance FIM
- Provides advice and direction to business, including new business & product initiatives, US activities, and response to customer complaints
- Reviews new vendor/expert relationships for Global Banking, as well as provides ongoing risk assessment reviews
- Manages compliance responsibilities for interaction between bank affiliate and broker dealer
- Works with Compliance Training & Outreach Office to coordinate outreach efforts to lines of business /corporate functions about Compliance procedures, regulatory and technical/procedural updates, while reinforcing HSBC's vision to be "Connected to customers, communities, regulators and each other."
- Performs an advisory, monitoring and educational role to support management with their efforts to achieve compliance with government and self-regulatory organization rules and regulations, as well as with Group and Firm policies
- Represents the Compliance function as a member of various business and governance committees
- Drives HSBC’s Global Conduct Approach throughout US Banking in a manner that is consistent with HSBC’s values and business principles
Regulatory Compliance Coordinator
12/2011
-
09/2016
Detroit, MI
- Ensure proactive approach is taken to identify and report all significant regulatory compliance breaches or gaps; work with legal and business management to design and implement changes to business policies and procedures as appropriate
- Manage assigned general compliance functions for major financial services business groups of the largest and most complex nature. Ensure adherence to the Compliance Officer and Money Laundering Control Officer handbooks
- Continuous review for appropriateness of framework to monitor regulatory compliance developments impacting business groups
- Lead and oversee implementation of programmes to quantify impacts and implementation of actions to address, manage and mitigate impacts of regulatory changes
- Lead, oversee and manage the business exposure to regulatory compliance and reputational risks, in a practical and effective manner, including efficient and reasonable deployment of resources and an understanding of the business operations and needs
- Manage and perform compliance risk assessments relative to all federal compliance regulations and state laws and analyze information and results to identify level of risk
- Rapidly developing an accurate understanding of the RC risk management components and using technical and business knowledge to formulate actionable solutions to problems or identify new opportunities to enhance processes
- Progress the organization-wide efforts to establish sustainable linkages in the Human Resources program that balances the full range of risks
- Implement plan to support regulatory compliance and remediation across HR
Regulatory Compliance Intern
09/2006
-
11/2011
Detroit, MI
- Keeps abreast of industry and regulatory changes and make appropriate recommendations to HSBC Senior Management
- To manage a team of RC Compliance Monitoring specialists. across the following business lines in the Region – GBM, CMB, RBWM
- To test the adequacy of controls in place within the business and to identify potential and actual breaches
- To escalate regulatory breaches to business and RC compliance Senior Management in order that appropriate action can be undertaken to rectify
- To coordinate the Compliance Risk Assessment process across different business lines on an ongoing basis and obtain business sign-off
- To manage the production, delivery and completion of compliance monitoring plans to include continuous, periodic and themed reviews
- Evaluating and addressing the allocation of monitoring resource on an ongoing basis to ensure completion of the RC compliance monitoring plan
- To oversee production and issue Monitoring Reports and MI to both Business and Senior Management
Education
Kansas Wesleyan University
2001 - 2006
Bachelor's Degree in Business
Professional Skills
- Provide regular status updates to assigned management team, including progress against milestones, risks to completion, alternate solutions, scope changes, resource changes, etc
- Strong planning/organizing skills with ability to meet changing priorities and critical deadlines
- Strong organizational skills, including priority setting, time management, planning and follow-up, and attention to detail
- Problem solving skills and innovative thinking skills
- Excellent analytical and problem solving skills, with the ability to effectively plan and direct multiple projects
- Medium to High level of interpersonal skills and customer service skills required
- Strong influencing, negotiating and relationship building skills to resolve issues across matrix partner areas
How to write Regulatory Compliance Resume
Regulatory Compliance role is responsible for interpersonal, analytical, organizational, compliance, computer, leadership, regulatory, organization, collaboration, presentation.
To write great resume for regulatory compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Compliance Resume
The section contact information is important in your regulatory compliance resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Regulatory Compliance Resume
The section work experience is an essential part of your regulatory compliance resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous regulatory compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular regulatory compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Compliance resume experience can include:
- Strong analytical skills including statistical analysis Strong cross-functional communication skills
- Excellent communication skills, includes verbal, written and presentation forms; strong influence skills
- Strong verbal and written communication skills; formal writing skills
- Excellent communicator with strong influencing and persuasion skills
- Strong organizational, planning and analytical skills; ability to prioritize time and handle time-sensitive projects
- Computer skills (including skills in MS Word, Excel and Outlook),
Education on a Regulatory Compliance Resume
Make sure to make education a priority on your regulatory compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory compliance experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Regulatory Compliance Resume
When listing skills on your regulatory compliance resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical regulatory compliance skills:
- Proven experience driving results to established timelines and strong organizational skills are required
- Strong written and verbal communication skills, including experience in external and internal stakeholder engagement, including at senior management level
- Demonstrated computer skills, including experience with Microsoft Office (Word, Excel, and Access) and graphics
- A proven track record of triaging competing priorities and effectively managing internal and external resources
- Demonstrate strong organizational skills while adhering to deadlines within a complex matrix of processes
- Excellent project management and interpersonal skills and a good team player
List of Typical Experience For a Regulatory Compliance Resume
1
Experience For Regulatory Compliance Coordinator Resume
- Evidence of problem solving & critical thinking skills required
- Effectively challenge the Line of Business identifying opportunities for improvement within the internal control environment to ensure compliance
- Demonstrated experience working within a Stage-Gate or Phase-Gate product development processes
- Effectively manage site quality system due date adherence escalation forum to prevent roadblocks from delaying completion of quality system documents
- Working knowledge Good Clinical Practice guidelines and federal research regulations
- Experience auditing and participating in regulatory inspections in a GMP environment required
- Identify and asses the severity of compliance issues currently impacting or with the potential to impact the effectiveness of the OGCP,
2
Experience For Regulatory Compliance Engineer Resume
- Consolidates Department Records Retention Schedule and updating as required
- Establish effective working links with other Thermo Fisher professionals in order to improve processes and compliance
- Co-ordinate and consolidated input to regulatory presentations by the function
- Participate in Regulation W compliance policy, procedure and control effectiveness test checks and targeted reviews for assigned areas
- Experience in consulting, public accounting, or other professional services organization in a client service role focused on Life Sciences
3
Experience For Senior Regulatory Compliance Engineer Resume
- Hands on experience in compliance issues, drafting, negotiating and advising on contracts
- Experience PQE (but anyone considered regardless to comply with anti-age discrimination law)
- Providing training to Front Office ensuring they have regulatory knowledge and remain up-to-date on any changes
- Interpreting regulations related to NWM and seeing how they impact commercial drivers
- Reviewing circulars and guidelines and assist with implementation of regulatory changes and/or regulatory expectations
- Provide input and maintain uniformed ongoing risk based monitoring and oversight utilizing KRIs/KPIs
4
Experience For Director, Regulatory Compliance Resume
- Advise on all stationary source environmental matters [permitting, emissions (air, water, waste), spills, and reporting] for manufacturing facilities
- Help business line determine appropriate training audience, delivery channel(s), and training frequency for compliance training
- Monitors compliance standards and coordinates all aspects of implementation including privacy, security and training
- Administer measures necessary to comply with state and U.S. E.P.A. Clean Air Act, including required reporting compliance forms
- Advise on internal product quality investigations and, if warranted, on every aspect of implementing appropriate field actions, including recalls
- Provide direct oversight of compliance with certain aspects of TREAD Early Warning Reporting requirements
5
Experience For Regulatory Compliance Associate Resume
- Provide preventative education and training to global research and development,TCS, and manufacturing clients
- Performs compliance risk assessments, gap analysis and monitoring in support of providing related guidance to key functional areas of the business
- Develop training and support programs to ensure proper understanding and on-gong support of program
- Lab coordination and testing to achieve international compliance including LVD, REACH, RoHS, WEEE, Safety and RED Directives, etc
- Assist the regulatory team with gathering and documenting regulatory intelligence
6
Experience For Head of Regulatory Compliance Resume
- Handles incoming telephone calls, e-mail and other communications requesting item master assistance
- Internal audits executing and reports writing
- Responsible for assisting in coordinating field onsite visits with various state and federal agencies on regulatory
- Review marketing, advertising content and other consumer communications for adherence to regulatory requirements and company standards
- Keep up to date on the evolving regulatory environment around Human Resources in the US, UK and EU
- Define and adopt best practice through collaborating with our key business partners (e.g. Finance, HR, CRE, IT)
- Develops project plans and oversees project execution, issue management and progress reporting
- Develops processes to support early detection of systemic issues causing operational inefficiencies
7
Experience For Director Regulatory Compliance Resume
- In conjunction with management, formulates and establishes company policies, operating procedures, and goals
- Evaluates existing policies and procedures to coordinate internal practices and to ensure compliance with regulations
- Serve as Subject Matter Expert regarding regulatory requirements and internal controls for the Line of Business
- Continuous review for appropriateness of framework to monitor regulatory compliance developments impacting on GBM in the Americas
- Coordinate personnel training in proper use of respirators; maintain the Respiratory Protection Plan
- Support RoHS/Reach Compliance by working with different cross-functional teams
- Lead auditing activities for multiple sites as division representative
- Develop standard operating procedures (SOPs) to harmonize UDI/GS1, trade compliance, and RoHS/REACH requirements
8
Experience For Regulatory Compliance Director Resume
- Provide compliance support for projects helping to achieve Site, Business Unit, Division and Company goals
- Proficiency with MS Office software and web-based reporting tools
- Review product requirements to determine standards applicability (U.S. & International) for regulatory planning purposes
- Facilitate testing (i.e. biocompatibility, wireless certifications, etc.), as needed, under the guidance of RA management
- Influence the behavior of the business and its support functions by acting as a deterrent
- Challenge existing surveillance tools and models and contribute to the creation and development of new models and detection tools
- Draft compliance alerts and communications concerning new or updated compliance policies or industry rules and regulations
- Identify and notify management of compliance related issues including proposed solutions and facilitation of agreed upon resolutions
- Prepares and participates in Study Initiation Visits and Interim Monitoring Visits
9
Experience For VP, Regulatory Compliance Resume
- Maintains up to date listings of regulatory projects, including status reports of new protocols, amendments and other relevant regulatory issues
- Prepares documentation for and troubleshoots during cooperative group, FDA, and other regulatory agency audits
- Attends divisional/departmental/institutional educational and training seminars
- Exposure to ESD, EMC, EMI and product safety testing and country certifications or homologations
- Responsible for providing regulatory compliance support to the Permian Asset Team
- Prepares and coordinates quarterly reporting to regulators required under written consent orders
- Review business line training materials with compliance related content for accuracy and completeness
- Assist with Regulatory Submission and Approval Tracking activities
10
Experience For Regulatory Compliance Advisor Resume
- Manage delivery of materials to the HSBC Monitor on behalf of US Human Resources
- Manage delivery of materials to regulators on behalf of US Human Resources
- Manage assigned corporate, HR and Group strategic initiatives
- Identify the need for (and ensure appropriate Compliance function support is provided to) relevant conduct risk change initiatives and projects
- Ensure proactive involvement in / co-ordination of relevant
- Develop and execute the plan for the completion of the functions regulatory self-assessments across global regulators
- Maintain the function's inventory of global regulatory commitments and map these back to the activities performed within the function
- Support Finance Risk’s lead role in the enterprise-wide governance of compliance with Regulation W (affiliate transactions in assigned areas
- Research, analyze and provide advice on transactions and activities in assigned areas that could be impacted by Reg W; manage and oversee such transactions and activities
List of Typical Skills For a Regulatory Compliance Resume
1
Skills For Regulatory Compliance Coordinator Resume
- Good writing skills including the ability to write clear, grammatically correct reports and memos is required
- Excellent decision & problem solving skills
- Good verbal communication skills; both individually and in group settings required
- Change management experience and influencing and interpersonal skills
- Strong analytical, organizational, administrative and/or project management skills
- Good written and verbal communication and analytical skills
2
Skills For Regulatory Compliance Engineer Resume
- Using technology effectively and efficiently including but not limited to compliance systems
- Resolves most problems independently, using sound decision making processes and communicates decisions and rationale effectively
- Demonstrates the ability to manage multiple priorities while utilizing project management techniques
- Prior experience as a compliance expert designing education programs for technology companies
- Creative & hands-on problem solving skills
- Develop methodology and processes for product test plans, and ensure effective validation testing for compliance to applicable EMC regulatory requirements
- Prior experience in corporate environment dealing with regulators, auditors and legal counsel
- Experience as a Regulatory engineer with a strong background in telecommunication design and EMC/Safety testing
- Experience in and strong working knowledge of the regulatory environment required at a global systemically important bank (TFR)
3
Skills For Senior Regulatory Compliance Engineer Resume
- Experience managing multiple projects, prioritizing and adapting to business needs and understanding of business requirements
- Effectively present information to Management and public groups is required
- Prior experience with Corporate Trust and Custody Regulations in a global banking environment
- Testing, Validation and Qualification
- Working on the specification, development, validation, and support for products through the entire product life cycle
- Analyzing root causes to non-compliance and recommending practical and effective solutions
4
Skills For Director, Regulatory Compliance Resume
- Experience with drafting, implementing, monitoring and training on compliance policies and procedures
- Knowledge of, and experience working with, federal banking regulations, such as Truth in Lending, RESPA and Equal Credit Opportunity
- Auto lending / leasing industry experience
- Proven ability in successfully designing and implementing large-scale, complex global / regional change initiatives (TFR)
- Strong understanding of lending compliance issues as they apply to commercial, consumer and residential loans
5
Skills For Regulatory Compliance Associate Resume
- Experience with the Microsoft Office suite of tools, including Word, Excel, and PowerPoint
- Experience and understanding of cloud security models
- Demonstrated success in influencing customer adoption of cloud for business-critical, regulated systems and workloads in these industries
- Experience leading cross-functional teams
- Experience working with applications and data tools within a regulatory environment
- Extensive experience working on regulatory and/or exam matters
- Demonstrated ability to exercise critical thinking with minimal supervision
- Knowledge of regulatory affairs / experience in FDA/USDA and Canadian food and labelling regulations would be a distinct advantage
- Experience of internal controls testing
6
Skills For Head of Regulatory Compliance Resume
- Bank Secrecy Act or relevant banking experience (Required)
- Bank Secrecy Act or relevant banking experience. (Required)
- Flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictate
- Focus on specific personal and team goals and demonstrate a sense of personal growth, accountability and urgency for achieving results
- Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO
- Demonstrate cooperative effort in working with other departments
- Good understanding of global consumer electronics EMC/EMI/RF standards such as,
- Experience in a Legal or Compliance role
7
Skills For Director Regulatory Compliance Resume
- Solid Quality Systems knowledge
- Experience in Quality, Quality in Supply Chain, Business Quality, Compliance areas or related areas
- Medical Device business experience (desirable)
- Lead Auditor certification or strong audit background
- Possess a demonstrated track record of achieving successful compliance and supporting regulatory agency inspections
8
Skills For Regulatory Compliance Director Resume
- Comprehension and practical application of risk assessments Experience certifying new products, working with global regulatory agencies, test labs, etc
- Distribution Center or Manufacturing Safety experience within the material handling solution industry
- Experience with Risk and Regulatory Management Consulting within a reputable Management Consulting firm
- Experience performing certification testing to all standards required by our products/customers
- A strong understanding of the rules relevant to trading and sales activities
9
Skills For VP, Regulatory Compliance Resume
- Experience working in a global or regional context would be desired
- Experience in risk, legal, compliance, and/or operations supporting human resources organizations
- Experience working with regulatory agencies is required, preferably with those in Asia Pacific
- Experience interpreting regulatory requirements in the light of current guidance and international regulatory body field activity
- Experience with military and commercial standards for EMI/EMC, ESD, and Environmental testing (MIL-STD-461, MIL-STD 810, DO-160)
10
Skills For Regulatory Compliance Advisor Resume
- Experience working for Department of Defense (DoD) or government contractors
- Technical and regulatory Health and Safety and/or Chemical Hazmat experience with an emphasis on chemical manufacturing and distribution
- Direct experience working as a lawyer focused on ABC/AML issues within a large corporate environment
- Experience with other major regulatory compliance risks facing a U.K. company with a global footprint (e.g., competition laws, data privacy laws)
- Experience of dealing with regulatory matters and regulators
- Strong understanding of risk and control framework and implementation of such
List of Typical Responsibilities For a Regulatory Compliance Resume
1
Responsibilities For Regulatory Compliance Coordinator Resume
- Assist in providing timely, accurate and consistent regulatory guidance to business’ program initiatives and identifying compliance/regulatory issues associated with the new business proposals
- Strong interpersonal skills including network-building
- Excellent verbal, written, multi-tasking and presentation skills. Well-organized, disciplined, attentive to detail
- Demonstrated interpersonal and communication skills, time management, and multi-tasking
- Prior work experience auditing a Holding Company / Bank institution and / or working in the regulatory compliance function with a BHC / Bank institution
- Experience in legal, banking, finance, operations or auditing experience
- Advanced analytical/logical problem solving skills
2
Responsibilities For Regulatory Compliance Engineer Resume
- Proven man management and leadership experience
- Lead staff to resolve compliance issues effectively and efficiently
- Develop methodology and processes for product test plans, and ensure effective validation testing for compliance to applicable EMC, RF, Safety requirements
- Understanding of an effective, operating control environment including how to identify gaps and recommend remediation
- Assessing the effectiveness of compliance policies, processes, and procedures and recommending improvements
- Developing strong, positive and constructive relationships with regulators, Compliance colleagues and other internal stakeholders
- Managing and driving execution of Legal initiatives designed to support business priorities
- Act as Team lead, responsible for setting department goals and objectives including scheduling and prioritizing workload
- Experience performing highly complex data analysis and using trending techniques such as control charts and statistical analysis
3
Responsibilities For Senior Regulatory Compliance Engineer Resume
- Demonstrated understanding of the concepts of manufacturing such as Six Sigma, Process Capability and World Class Manufacturing
- Provides effective people management and development, to ensure retention, nurturing and continuing professional development of our talent
- High professional and ethical standards and a strong commitment to creating and developing a diverse and inclusive work environment
- Experience advising on legal matters arising across multiple jurisdictions or globally
- Significant experience applying advanced engineering systems in innovative ways to processes and practices
- Experience working with the DOE and understanding of the DOE contractual relationship
4
Responsibilities For Director, Regulatory Compliance Resume
- Professional demeanor in both low-stress and highly charged situation, managing multiple, competing priorities to completion
- Experience in electrical/mechanical design, testing, debugging and certification
- Investigates and provides solid engineering solutions to product issues and continuous improvement \ value engineering opportunities
- Experience conducting export control investigations, audits, and assessments
- Demonstrated ability to work under the stress of maintaining proper liaison between department heads, managers, employees, investors, vendors and customers
- Design and routinely validate processes for providing regulatory support to internal project teams and external customers
- Experience in conducting export control investigations, audits, and assessments
- Experience with ITR matters and compliance-related advice, including trade sanctions and export controls, under U.S. law
5
Responsibilities For Regulatory Compliance Associate Resume
- Experience of working in an investment bank’s Control Room would be useful
- Working experience in the Medical Device Industry
- Working experience in quality/regulatory function
- Equivalent combination of training, education, and experience
- Maintain a high level of productivity in the face of changing business priorities
- Bank Secrecy Act or relevant banking experience with an intermediate knowledge of Bank Secrecy Act investigations. (Required)
6
Responsibilities For Head of Regulatory Compliance Resume
- Strong working knowledge of National HSSE Regulations
- Experience, preferably in Legal, Compliance or Finance
- Reviews and assists in the effective deployment of the Regulatory Compliance Assurance function
- Directs and establishes priorities for the Company’s Environmental Program
- Resolve problems with Suppliers in a timely and effective manner
7
Responsibilities For Director Regulatory Compliance Resume
- Significant experience in international trade compliance, customs, supply chain, or other process/projects management
- Change agent with strong credibility and influence in the organization. Open minded to new tools and developments and willingness to try new approaches
- Excellent leader with the ability to understand the detail but also plan strategically
- Significant demonstrable experience in the area of product/project safety management, assurance and governance
- Strong disciplined approach to process and attention to detail
- Anticipate project roadblocks and adjust strategies and plans to meet changing priorities and circumstances
8
Responsibilities For Regulatory Compliance Director Resume
- Be a reference in terms of regulation and good practices towards stakeholders
- Responds to day to day priorities while still making progress on project work
- Managing and conducting audits/assessments, developing and completing audit/assessment protocols, and drafting audit/assessment reports
- Assisting Raytheon business units and functions in assessing risks and formulating, recommending, and implementing corrective actions
- Supporting manufacturing and manufacturing testing
- Monitoring and tracking SC&M performance/compliance reporting: Mandatory Training, SOX, T&D Critical Action Items (Audits)
- Joining up’ the RC functions, establishing appropriate governance and integrated planning processes
- Driving progress in the region to the Target Operating Models, and assisting in the review of the models
- Generating and hosting training modules in compliance and regulatory certifications
9
Responsibilities For VP, Regulatory Compliance Resume
- Maintaining a high level of competency when reviewing data and reports while quickly identifying data inconsistencies
- Enhancing existing processes and workflows while looking for new ways to streamline day to day activities
- Maintaining copies of all regulatory plans and documentation relating to permits and permit compliance, including environmental compliance
- Monitoring and reporting on program status and identifying areas of program improvement
- Ensuring that ongoing Group directives are implemented regionally and are aligned to country level risk
- Leading domestic and/or international telecommunications standards compliance and temporary licensing/grant application efforts (FCC, CE, NTIA, IEC)
- Serving as subject matter expert during bid proposals and responses to environmental and compliance test requirements from government RFI and RFQ
- Working with program managers in achieving spectrum approvals and licenses as required for government efforts
- Providing education to responsible clinical/ non clinical and administrative staff regarding the requirements of the applicable regulations and standards
10
Responsibilities For Regulatory Compliance Advisor Resume
- Coordinating cross-functional and cross-business teams, domestically and abroad, in conducting investigations, audits, and assessments
- Understanding of applicable worldwide regulatory standards in relation to our products and requirements to bring a product to certification
- Working across various technology platforms (surveillance, analytics, trading platforms, etc.)
- Monitoring, investigating dealer complaints and concerns; and
- Preparing and filing state licenses
- Managing purchase orders for sample procurement, tests cost and logistics with key supplier and 3rd party labs
- Working knowledge of regulatory requirements and industry standards
- Working alongside operational leaders, facilitates operational analyses to determine organizational needs for policies and/or job aids
- Assisting in the investigation of potential violations of export control policies and laws
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