Regulatory Compliance Manager Resume Sample
Queenie Hessel
7507 Russel Glen,
Los Angeles,
CA
+1 (555) 311 2785
Work Experience
Regulatory Compliance Manager
09/2015
-
PRESENT
Boston, MA
- Provides advisory services and direction to all business and support areas regarding assigned regulations, regulatory requirements, and/or compliance risks
- Partners with management and the line of business Local Compliance Officers (LCOs) to ensure products and services comply with applicable laws and regulations. Coordinates development and maintenance of supporting policies, procedures, agreements, and contracts
- Supports an effective control environment by consulting with the line of business LCOs and business partners on the development of and changes to products and services and new vendor relationships
- Ensures that a HNAH-wide Training Needs Assessment (TNA) has been created for assigned regulation(s), regulatory requirements and/or compliance risk to reflect the training required by the lines of business and by Compliance on an annual basis
- Prepares summaries on compliance with assigned regulation(s), regulatory requirements, and/or compliance risks for senior management, and/or Committees/Boards or Executives as required
- Manage/track outstanding remediation activity on an ongoing basis through internal reports and logs, ensuring all mediation deadlines are met
- Create and regularly execute risk control testing plans for the department to monitor that controls continue to operate effectively
- Develops, implements and maintains formal compliance structure and processes including maintaining systems for compliance related activities and/or regulatory guidance
- Manages process for review of regulations and further assign within tracking system to business areas in order to effectuate implementation
Senior Regulatory Compliance Manager
10/2009
-
07/2015
Houston, TX
- Coordinates across matrix environment to ensure awareness and proper assignment of regulatory guidance
- Create the structure and processes necessary to manage compliance training related activities including but not exclusively tracking, presentation, and collaboration
- Monitors adherence to contractual obligations
- Delivers compliance education sessions to address key issues
- Develops, implements and maintains formal compliance structure and computer and filing systems for compliance materials
- Create the structure and processes necessary to manage filings and related activities
- Manages multiple complex projects with Compliance impacts
Global Quality Regulatory Compliance Manager
09/2004
-
07/2009
Boston, MA
- Contributes to Risk Management, Issue Reporting and Management, Delegate Oversight, and Compliance Training programs
- Supports Exchange Compliance business areas with oversight of Compliance Plan and Risk Management
- Manages process for drafting all policy language and reviews all written materials for compliance with state and federal regulations, as well as contractual requirements
- Maintain a current understanding of changes in law and advise staff on changes affecting member materials and departmental processes and activities
- Develop and maintain compliance related standard documents and forms, i.e., Subscription Certificate, Amendments, Riders, Description of Coverage Worksheet, Evidence of Coverage, etc
- Responsible for service area expansion processes
- Coordinate compliance review activities with external regulatory auditors
- Oversee implementation of corrective action as generated by external regulatory auditors, agencies, etc. to ensure corrective action plans have been adequately implemented
Education
Ohio State University - Marion Campus
1998 - 2003
Bachelor's Degree in Business
Professional Skills
- Excellent oral and written communications skills, problem solving, program development, computer skills, strong leadership, and team building skills
- Project management skills; excellent planning and organizational skills
- Strong influencing skills and solid experience in working in matrix structures
- Strong communication skills with varying levels of management and staff
- Excellent soft skills when working with others up, down and sideways within DepuySynthes, with consultants and with suppliers
- Skills to effectively utilize an organization’s computer systems and programs to accomplish desired goals
- Excellent written and verbal communication skills and the ability to work well with business colleagues, clients and outside counsel
How to write Regulatory Compliance Manager Resume
Regulatory Compliance Manager role is responsible for collaborative, reporting, analysis, training, english, analytical, wireless, trading, java, shipping.
To write great resume for regulatory compliance manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Compliance Manager Resume
The section contact information is important in your regulatory compliance manager 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 Manager Resume
The section work experience is an essential part of your regulatory compliance manager 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 manager 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 manager position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Compliance Manager resume experience can include:
- Demonstrated project management skills, including strong analytical capacity, proven ability to facilitate teams and guide operational implementation
- Effectively utilize computer programs such as Microsoft Excel, Microsoft Word, Adobe Acrobat, Microsoft Dynamics and Vicinity Manufacturing
- Prior experience working with a pipeline and terminals company
- Strong Experience with FDA 510K and ISO 13485
- Advanced PC, communication, leadership, facilitation, and presentation skills
- Java development experience and Production Support experience 24x7
Education on a Regulatory Compliance Manager Resume
Make sure to make education a priority on your regulatory compliance manager 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 manager 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 Manager Resume
When listing skills on your regulatory compliance manager 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 manager skills:
- Good planning, organizational, problem solving, and people skills
- Demonstrated ability to work effectively in a small team environment
- Experience in RA related activities including SOP development, good practices training programs, and with GMP audits and inspections
- Prior experience supervising a small group
- Powertrain calibration experience\Experience with code or federal regulation in mobile/vehicle emissions and fuel economy testing
- Project development and management skills
List of Typical Experience For a Regulatory Compliance Manager Resume
1
Experience For Senior Regulatory Compliance Manager Resume
- Operate in a matrix organisation, build relationships across business lines, strong communication skills
- Five (5) years of regulatory compliance experience and/or operations experience in healthcare industry required
- Audits to achieve consistent trade and tariff classification of raw materials, intermediates and finished goods and hard goods
- Effective and compliant mortgage appeals process in place
- Excellent team player with ability to take ownership of role and work under own initiative
- Preparing and driving through FCA and other licensing applications as required
- Reviewing and providing critical input to global process Standard Operating Procedures (SOPs) or local process that impact local Regulatory
2
Experience For Regulatory & Compliance Manager Resume
- Interfacing with Regulators and Internal Audit, and facilitating queries and data requests as relevant
- Documenting knowledge of the company’s regulatory compliance responsibilities and liabilities
- Regional FTA execution using global GTM tool
- Manages regional trade security programs collaborating with global efforts
- Monitors and maintains GTS regulations holds due to missing commodity code, transport regulations, and export controls
3
Experience For Global Quality Regulatory Compliance Manager Resume
- Prepares and updates training materials and trains local resources as necessary
- Level and quality of Compliance training as measured by feedback from business and participants
- Conduct periodic reviews of reporting matrix and jurisdictional matrix
- Comprehensive understanding of the risk and control environment in a financial services organisation
- Update documentation and provide training to stakeholders as necessary
- Facilitate Enterprise/Business Unit/Application compliance assessments against frameworks in conjunction with other risk assessing organizations
- Build relationships with senior management and providing them with specialist advice to resolve complex regulatory matters
- Research and respond to organizational regulatory compliance inquires, requests, questions, etc
- Coordinate and oversee compliance reviews to prospectively test compliance with established laws, regulations, organizational policies and managerial guidelines
4
Experience For Usda Regulatory Compliance Manager Resume
- Develop departmental policies and procedures as necessary
- Serves on the Benefits Implementation Committee, Member Materials Implementation Committee, and other committees/work teams as assigned
- Adheres to and enforces Carle Administrative and Departmental policies and procedures
- Manages timely completion of all client required deliverables and responses
- Maintains open communication with the client on a daily basis to keep abreast of client activities
- Performs and/or requests required research to support client compliance activities
- Demonstrates an understanding of compliance aspects of client contract provisions, Health Plan specific rules, governmental and agency regulations, laws, and rules associated with AIM's delegated support of client
- Develops, implements and maintains formal CAP and operations audit oversight structure and materials
5
Experience For DST Brokerage Regulatory Compliance Manager Resume
- Creates the structure and processes necessary to manage internal oversight activities
- Assists with internal risk assessment and accreditation activities
- Act as execution partner along with International Trade Compliance, Procurement, Global Sustainment, Customer Solutions and others in managing the F-35 Global Spares Pool for US and Partner/FMS countries in support of indigenous and deployed operations
- Interface with Customs Brokers, Freight Forwarders and other service providers to effectively provide import/export instructions and oversight
- Assist in the identification, obtainment and execution of all required licensing and permits associated with the permanent and temporary exportation and importation of military related products and re-transfers thereof
- Experience working with laws, rules and regulations in industry, private law practice or in government
- Responsible to monitor changes to import/export regulatory requirements and proactively develop operating plans to support execution and compliance
6
Experience For Regulatory Compliance Manager, Shipping Resume
- Provide regulatory guidance and oversight to company personnel on import/export issues
- Maintain and conduct audits of import and export transactions to affirm internal controls in areas including classification, recordkeeping, value, origin, OGA, licensing, etc. Implement any necessary corrective actions to any audit findings
- Audits regional transactions including third party providers
- Manages regional customs reporting, applications, and documentation requirements
- Subject matter expert with SAP Global Trade Services module
- Experience as a change agent, with proven ability to leverage organizational resources for results. Ability to influence and communicate to all levels. Vision, ability and leadership to inspire others to action
- Regularly evaluating assigned inquiries for potential issues or gaps related to existing policy, procedures and/or potential violations of regulatory rules
- Evaluating needs and parameters of the inquiry management process and make recommendations as to the effectiveness and adequacy of certain internal controls, policies, procedures and systems of supervision
- Excellent written and verbal communication skills, including ability to communicate effectively orally and in writing to senior management and business partners
7
Experience For Environmental & Regulatory Compliance Manager Resume
- Strong organizational skills, with proven ability to drive and execute on multiple projects simultaneously
- Ensures effective LZA and LZAM regional compliance organization
- Be the regional trade compliance subject matter expert
- Develops, Implements, and Confirms effective operation of regional procedures aligned with global compliance policies and procedures (Trade, import, Export, Transport)
- Represents region as team member on Global Compliance Council
8
Experience For Waste Regulatory Compliance Manager Resume
- Manages LZ Transportation Emergency Response program which mitigates risk to LZ and provide assistance to facilities and carriers to resolve incidents
- Leads response to regional audits from government agencies and alerts and communicates to Legal and Global Compliance Director
- Primary contact for regional Customs Authorities and transport government agencies
- Regulatory Compliance subject matter expertise
- Work with the Legal Department in order to assess the company’s regulatory risks, and determine the adequacy of existing policies, procedures, training and objectives
- Issues/implications of legal and regulatory changes identified and acted upon in a timely manner
- Delivery of prompt and accurate advice to the business
9
Experience For Regulatory Compliance Manager AIM Chicago Resume
- All appropriate policies and procedures in place and up-to-date
- Conduct reviews of internal procedures against approved internal control manuals and identify and action any inconsistencies
- Provide guidance to internal and external clients and others on internal compliance issues
- Identify significant legal and compliance risks impacting on the company and the costs of non-compliance and implement strategies to minimize risks and achieve compliance
- Provide periodic reporting to Compliance Committee on internal controls
- Provide input as required to control and commercial aspects of changes in business processes
- Maintain Regulatory Compliance work manual
- Promote the team’s professional development. Ensure all team members receive consistent and relevant development plans
- Provide miscellaneous environmental expert-level consulting services to NRG’s Gulf Coast plants, as needed, and in accordance with NRG’s Corporate Values so as to assure the long term, environmentally compliant operation of NRG owned and/or operated facilities
10
Experience For Residential Lending Regulatory Compliance Manager Resume
- An ability to plan and organise workload to achieve deadlines
- Liaise with the Business lines and senior management on regulatory matters
- Review new products and business initiatives as they relate to regulatory compliance
- Deliver to tight deadlines with a high level of accuracy
- Likely to have a third level qualification, with a Diploma in Compliance (or similar) beneficial
- Awareness of key compliance and regulatory topics, including CRR/CRD IV, BRRD, DGSD, MiFID EBA guidelines, and regulatory reporting. Exposure to Irish/EU regulatory environment an advantage
List of Typical Skills For a Regulatory Compliance Manager Resume
1
Skills For Senior Regulatory Compliance Manager Resume
- Excellent presentation skills, experience in training delivery and communication of policies and procedures to diverse audiences
- Prioritise workload in line with tight deadlines and work effectively under pressure
- Basic verbal and written communication skills in both English and Japanese
- A team player who works effectively with others to identify and resolve issues; shares information and keeps team members and management informed
- Experience: Two years of regulatory compliance experience (in addition to education requirement)
- Analyzing Audit/Inspection observations related to Regulatory/Compliance activities for trending and change control/CAPA related effectiveness
- Experience interpreting, analyzing and acting upon the results of monitoring operational and compliance based metrics
- Experience researching, identifying, interpreting and communicating regulatory requirements to all levels of the organization
2
Skills For Regulatory & Compliance Manager Resume
- Experience establishing and developing an annual compliance plan, including compliance training and oversight
- Knowledge of commodity trading, derivative markets, exchanges and experience of working with trading desks
- Experience with a regulatory reporting and policy writing
- Experience analyzing and/or reporting data in order to identify issues, trends or exceptions to drive improvement of results and find solutions
- Experience establishing and communicating compliance procedures and policies
- Experience working across diverse cultures and tailoring communications to the audience
3
Skills For Global Quality Regulatory Compliance Manager Resume
- Experience working and communicating cross-functionally across many departments
- Experience in product development in ingestible manufacturing, quality assurance for food manufacturing or retail food companies
- Previous experience manifesting and profiling waste
- Responds to rapidly changing priorities according to business and customer requests
- Knowledge of Community and Common Transit procedures governing Union and Non-Union Goods, as well as managing a Customs Bonded warehouse
- Exhibits understanding of Compliance program effectiveness seven elements as it relates to regulatory oversight, monitoring requirements and quality measures
- Demonstrated ability to lead a team in documenting and improving processes and procedures
4
Skills For Usda Regulatory Compliance Manager Resume
- Proficient in Microsoft suite: advanced Excel, strong knowledge of Word, working knowledge of Access, Visio and Project
- Experience working with Contracts and Legal Documents and regulations
- Good understanding of UK and EU financial services regulatory compliance, the FCA Handbook, non-technical PCI DSS and PSD
- Experience with working in a global organisation - desirable
- Experience working with regulatory agencies (e.g., FDA, state and local governments, Attorney General)
5
Skills For DST Brokerage Regulatory Compliance Manager Resume
- Experience addressing risk in a way that is mindful of both regulatory requirements and business objectives
- Experience using Outlook, Word, Excel, and data bases
- Demonstrated understanding of the operations of the legal function
- Experience supervising small groups
- Experience in an energy trading environment (specifically gas, power and emissions) or a related regulatory/ compliance environment
- Demonstrate current knowledge of UK and EU regulatory regimes and issues affecting commodity markets
- Experience in communicating with Competent Authorities and Notified Bodies
- Perform periodic compliance audits to verify that internal controls are effective
6
Skills For Regulatory Compliance Manager, Shipping Resume
- Experienced with CMS, CDPH and JC regulations
- Experience is leading Internal Audit
- Working experience in a regulated industy
- Experience in leading internal audits is required
- Experience in Medical Device Company or Pharma company
- Experience in a quality and/or compliance function
- Experience with External inspection is required
- Experienced in wireless product certifications worldwide
7
Skills For Environmental & Regulatory Compliance Manager Resume
- Or more of relevant work experience
- Solid understanding of state money transmission licensing requirements and related reporting
- Experience with USP, cGMP’s, and FDA guidelines
- Experience: Two years of hazardous and non-hazardous waste management (in addition to education requirement)
- RCRA and DOT regulatory experience required
- Experience: Two years of waste specific regulatory compliance required (in addition to education requirement)
- Experience with external audits is required
- Experience in Quality Assurance
- 5 – 10 years’ experience in Medical Device industry
8
Skills For Waste Regulatory Compliance Manager Resume
- 2 – 5 years’ experience in Supply Chain Management
- 2 – 5 years’ Managerial experience
- At least five years related work experience in a property and caasualty insurance company or a claims-related environment
- Proven knowledge of insurance concepts, principles and practices as well as application of laws and regulations
- Be able to prioritize projects for the group based on regulatory compliance, and value added to the company
- Experience with regulatory compliance
- Liaising with internal customers (R&D, Marketing, Food Safety) and transferring knowledge as required to Compliance Analysts
- Understanding of quality control processes related to the food processing industry
- Creating and managing compliance information
9
Skills For Regulatory Compliance Manager AIM Chicago Resume
- Preparing and participating in Management Reviews
- Providing Quality and regulatory related training courses
- Handling non-standard, complex regulatory inquiries often partnering with senior level employees, business partners or other subject matter experts
- Providing support to junior staff on resources, processes, rules, regulations and/or policies that are necessary for handling regulatory inquiry responses
- Assisting management with reporting and metrics
- Working knowledge of management, benchmarking, team development and quality tools
- Understanding of Generic Pharmaceutical Business
- Maintaining status oversight on Audit Observations & related CAPA status assigned to the RA/Compliance group
- Willing to learn requirements and participate in standards bodies as applicable
10
Skills For Residential Lending Regulatory Compliance Manager Resume
- Willing to travel (up to 25%) and partner with offshore ODMs and test labs
- Understanding of regulatory requirements vs. “best practices” in compliance is critical
- Understanding of the FCA’s conduct risk agenda
- Maintaining status and oversight on Regulatory-related commitments
- Managing and participate in the internal audit program
- Promoting interpersonal relationship with the members of government agency
- Ensuring the GSCC is in an audit readiness status at all times
List of Typical Responsibilities For a Regulatory Compliance Manager Resume
1
Responsibilities For Senior Regulatory Compliance Manager Resume
- Good organisational skills, and ability to prioritise workload across team members
- Strong analysis and problem solving skills; ability to identify problems and recommend solutions to problems
- Uses excellent communication skills and represents the company to both external and internal customers in a professional manner
- Proven leadership skills both within and external to team
- Knowledge of typical Compliance Management System requirements through prior work experience
- Proven effective business and project management
- Influence product roadmaps by identifying and prioritizing solution gaps, based on SME knowledge and client feedback
- Verify accuracy of product label ingredient declarations and nutrition facts panels prior to printing for preprinted labeling
2
Responsibilities For Regulatory & Compliance Manager Resume
- Experience speaking with or negotiating agreements with external governmental agencies
- Participate in the annual design effectiveness review programs and contribute towards streamlining the SOx controls
- Self-starter with 7+ years of industry or consulting experience in regulatory compliance, risk management or internal audit in a multinational company
- Previous experience supervising people
- Supervisory and managerial experience
- Mentors and assists less experienced Regulatory Compliance personnel
- Several years’ regulatory experience, domestic and international
- Specific experience preparing an incurred cost submission
3
Responsibilities For Global Quality Regulatory Compliance Manager Resume
- Experience dealing with DCAA audit requests
- Specific experience pulling Cognos Reports
- Strong communicator and the ability to influence others to adopt different points of view
- Effectiveness within a Matrix Organisation – multiple customers, networking
- Experience working with local, state, and federal organizations
4
Responsibilities For Usda Regulatory Compliance Manager Resume
- Five to seven years experience in the pharmaceutical and/or biotechnology based industry
- Responsible for the activities necessary to assure the effective and orderly management of Technical and Regulatory documentation
- Maintain good relationship with relevant governmental functions
- Ensure the valid company standard and product qualification of vendors and suppliers
- Lead or support compliance process development or optimization to ensure effective compliance management and business supports for the region
- Project management experience and Results driven
5
Responsibilities For DST Brokerage Regulatory Compliance Manager Resume
- Handle multiple tasks and appropriately manage priorities for self and organization
- Travel 50% - 80% of the time and valid driver’s license
- Understanding of anti-money laundering regulations and payments laws within the banking/financial services industry
- Maintaining the Quality Management System by a.o. the document control process
- Vehicle testing background – chassis dyno testing and an understanding of coast down testing
- Vehicle testing background – chassis dyno testing and an understanding of coastdown testing
- Monitors compliance with state regulations regarding timely reporting and handling of required claims transactions
6
Responsibilities For Regulatory Compliance Manager, Shipping Resume
- Capable of reading and interpreting code and standard documents and writing responses for plans of correction as follow-up to surveys
- Provide leadership in solving Regulatory challenges, ensuring successful outcome for the Business Units and customers
- Serve as a senior team member that contributes to developing and achieving overall department strategic goals, products and offerings
- Responsible for creating and/or updating customer specs within the customer databases or customers forms, as required
- Develop and implement best practices for the C-TPAT program and associated training for complying with agreed-to procedures
- Review internal controls of gaming licensees’ to ensure compliance with laws and regulations, identify deficiencies, and recommend appropriate changes
7
Responsibilities For Environmental & Regulatory Compliance Manager Resume
- Identify the need for, design and implement compliance programmes across the business, making appropriate recommendations
- Identify, evaluate and review regulatory risks, working with the business and other Group functions to assess and mitigate such risks
- Produce awareness training on general agency regulations and best practice methods to improve team knowledge and productivity
- Manage a team of Regulatory Specialist in developing regulatory strategy and requirements for OEM and MRO P&W engine/article programs
- Drive a culture of continuous improvement through the use of the ACE Operating system
- Manage the implementation of new FAA/NAA regulatory requirements effecting P&W and its business units
8
Responsibilities For Waste Regulatory Compliance Manager Resume
- Interpret and apply regulations to existing Hologic products to ensure compliance with these regulations in all EMEA and Canada sites, dealers and distributors
- Evaluate the staff to determine strengths and weaknesses and be able to provide that coaching to each employee
- Interface with regulators and be able to answer questions regarding our compliance with their rules and regulations
- Update peers and upper management on compliance issues, audit findings, and upcoming audits
- Monitor and escalate, if necessary, completion timeframes for reporting Observations in accordance with the Policy
- Monitor delivery of action plans and escalate, if necessary, delays in completing (as outlined in the Policy)
9
Responsibilities For Regulatory Compliance Manager AIM Chicago Resume
- Administer programs for measuring compliance and quality through pertinent metrics on key performance indicators
- Understand and interpret regulations, regulatory guidance and apply such in a practical manner in an operational environment
- Ensure that the global and local regulatory and Quality and engineering organisations’ are aware of changes to the applicable directives regulations and standards etc
- Monitoring compliance with a periodic review cycle to ensure SOPs are up-to-date and reflective of current practice
- Provide subject matter expertise for common IT compliance frameworks (e.g. HIPAA, HITECH, NIST 800-53 r4, SOX)
- Analyze the impact of applicable regulatory updates and facilitate communication to relevant stakeholders
- Develop remediation process for compliance assessments and work with Business Unit stakeholders to develop and monitor remediation plan(s)
10
Responsibilities For Residential Lending Regulatory Compliance Manager Resume
- Hire and train all regional EC employees on applicable environmental compliance regulations and programs (e.g., universal and hazardous waste, SPCC, stormwater, air quality, EPCRA Tier II compliance, applicable DOT regulations, and Cox’s environmental system)
- Manage the Company’s shipping regulations information system to ensure accuracy
- Provide assistance to sales’ and operations’ personnel relative to compliance questions
- Perform and/or facilitate compliance risk assessments in accordance with the company’s risk assessment process to identify deficiencies and testing needs with respect to enterprise-wide regulations
- Establish and manage key risk indicators and executive management reporting to represent the company’s compliance health with respect to Enterprise Regulatory Programs
- Create executive management reporting identifying common trends, emerging concerns and results of conducting oversight of Compliance Risk Delivery teams’ adherence to the Enterprise Compliance Framework
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