Regulatory Compliance Officer Resume Sample
Lizzie Beer
8692 Connie Valleys,
San Francisco,
CA
+1 (555) 966 8373
Work Experience
Senior Regulatory Compliance Officer
05/2016
-
PRESENT
Boston, MA
- Maintains current knowledge of business processes and compliance requirements, as well as of pertinent internal regulatory policy and procedural changes
- Performs testing, as directed by CTAC management, and assists in the reporting of related results designed to assist HNAH Compliance in identifying deficiencies and other issues impacting compliance controls
- Helps align the function to the Strong Enterprise Risk Management (SERM) framework by deploying the critical second line of defense testing function
- Assist in providing advice and direction to the related area of responsibility under the direction a senior officerAssist in responding to compliance related questions from his/her related area of responsibility
- Coordinates Business Units regulatory activities to comply with Financial Industry Regulatory Authority (FINRA) and other state agencies, which includes regulatory licensing, state licensing, and examination support processes
- Maintains compliance in the functional areas with FINRA which includes accountability for the maintenance of state and regulatory filings and other mandated activities
- Helps ensure compliance with regulatory filing deadlines for license filings, regulatory reporting, and other mandated state activity in an effort to adhere to state and regulatory regulations
Regulatory Compliance Officer
03/2010
-
11/2015
Detroit, MI
- Completes critical tasks in the Bank’s Reg W and Reg O Compliance Office
- Manage approval and review process of affiliate transactions
- Evaluates and documents Reg W and Reg O controls
- Documents, enhances and develops Reg W and Reg O policies and procedures to establish and maintain the Bank’s Reg W and Reg O compliance programs
- Prepares, submits, co-ordinates and compiles quarterly and annual certifications and surveys
- Supports Regulatory and Internal audits and exams and works to remediate any resulting findings as needed
- Drafts and prepares Reg W and Reg O reports for presentation to management and board committees
- Perform Overdraft monitoring
Junior Bank Regulatory Compliance Officer
05/2003
-
02/2010
Los Angeles, CA
- Performs compliance research on state laws, regulations, foreign regulations, and rules pertaining to licensing and regulatory reporting
- Experience within the pharmaceutical industry
- Relevant experience in regulatory or regulatory compliance group in a GMP/GLP environment is desirable
- Assists management in providing advisory services and direction to all business and support areas regarding assigned regulations, regulatory requirements, and/or compliance risks
- Acts as a resource within the applicable compliance function
- Assists in providing advice and direction to the related area of responsibility under the direction of a senior officer
- Assists in responding to compliance related questions from his/her related area of responsibility
Education
LeTourneau University
1997 - 2002
Science's Degree in Business
Professional Skills
- Maintain appropriate systems and controls in your area of responsibility to ensure the firm meets its regulatory and statutory responsibilities with regard to the adequacy of, access to, periods of retention and security of records
- Strong analytical skills, pro-active approach, and forward thinking
- Excellent systems skills, including the full Microsoft Office suite
- Strong Microsoft Office skills (Word, Excel and Power Point)
- Excellent analytical skills, attention to detail, apply independent judgment and discretion
- Excellent communication skills in German and English, written and oral
- Excellent organizational skills: able to keep with timelines and a sense of urgency
How to write Regulatory Compliance Officer Resume
Regulatory Compliance Officer role is responsible for compliance, english, german, trading, finance, securities, training, database, auditing, refining.
To write great resume for regulatory compliance officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Compliance Officer Resume
The section contact information is important in your regulatory compliance officer 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 Officer Resume
The section work experience is an essential part of your regulatory compliance officer 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 officer 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 officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Compliance Officer resume experience can include:
- Provides first level of internal validation and effective challenge
- Alternatively: Examination as a banking clerk and at least 5 years of experience in regulatory matters
- Monitoring and auditing to ensure guidelines and standards are being followed,
- Working closely with senior compliance in London with the interpretation and on-going review of regulatory guidance relating to IAR
- Assisting stakeholders across the bank in understanding proposed SD rules and associated obligations to inform the bank’s advocacy
- Working closely with the Legal, HR, the business and Product Compliance teams when responding to regulatory queries from the FCA and other authorities
Education on a Regulatory Compliance Officer Resume
Make sure to make education a priority on your regulatory compliance officer 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 officer 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 Officer Resume
When listing skills on your regulatory compliance officer 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 officer skills:
- Strong analytical skills with the ability to interpret and present complex data sets
- Experienced and skilled in management within a cross-functional, cross-cultural organisation and in a client/service provider business setting
- Previous experience in a Quality, Compliance, Validation or Product Design involving electrical or mechanical products
- Proven ability to work rapidly-changing priorities and deadlines
- Language skills – ideally German and/or Dutch; but also, French/Spanish
- Effectively build rapport with and influence internal and external customers
List of Typical Experience For a Regulatory Compliance Officer Resume
1
Experience For Senior Regulatory Compliance Officer Resume
- Develop strong relationships with the first line of defense (Front-office, Operations, Product Control, Market Risk) and RC Advisory teams
- Validate disclosed account information for completeness and applicability to PAD policy
- Monitoring:distribution oversight – perform regular monitoring (including the review of distribution agreements) and the review of PIBs (ETCs)
- Developing Compliance policies and procedures,
- Initiating and manage appropriate operational compliance projects,
- Reporting on status of compliance activities to senior leadership,
- Tracking and Review of all disclosed account statements
2
Experience For Assistant VP Senior Regulatory Compliance Officer Resume
- Training business partners in relation to PAD process requirements
- Partnering with Technology and Compliance globally to proactively assist with the innovation of new technologies
- Drafting of requirements documents for new system enhancements and processes
- Working as an active team member to ensure that the BAU tasks are completed in a timely and compliant manner
- Creating weekly / monthly reports to key stakeholders
3
Experience For AVP Senior Regulatory Compliance Officer Surveillance Investigations Resume
- Ensuring all green material arrives with appropriate paperwork, working with internal JM customers and external customers
- Assists in reviewing, drafting and updating compliance manuals on behalf of the firm’s clients
- Partners with Business Units in designing/enhancing new processes to improve efficiencies and mitigate Reg W and Reg O risk
- Collaborates with Business Units to enhance the Bank’s Reg W and Reg O compliance program by identifying and implementing internal control enhancements
- Participates in preparing materials and presentations for regular and special board meetings involving NLC services
- Provides Director C&A (and other key stakeholders/GITRM management as required) on-going updates of in-flight exam status including any issues
- Reviews and drafts firm operating policies, procedures and guidelines
4
Experience For Senior VP Regulatory Compliance Officer Resume
- Ensures employee adherence to operating policies, procedures and guidelines
- Review results of exams tracking any noted themes and trends that can be applied across GITRM
- Perform ad-hoc trading reviews
- Formulation of standard responses relating to regulatory compliance issues for use within customer services and social teams
- Maintain Insider and Related Interest list
5
Experience For AVP Senior Regulatory Compliance Officer Surveillance Assurance & Validation Resume
- Interacts within the Compliance Department and across Business and support Units such as Risk and Finance
- Assists Reg W Compliance Officer with Reg W projects and tasks as needed and leads assigned projects through completion
- Ensures firm compliance with applicable federal securities laws
- Provides interpretative advice to NLC personnel as to the federal securities laws, relevant rules and regulations
- Presents information and provides expert advice to mutual fund boards both in-person and via telephone as requested
- Prepares and/or participates in the preparation of periodic compliance reports which includes review and analysis of various mutual fund and advisory client compliance programs
6
Experience For Legal & Regulatory Compliance Officer Resume
- Supports regulatory activities across GITRM portfolios in Canada, US and Internationally
- Oversees and reviews pre-exam activities such as the coordination of documentation, completion of Pull List activities by engaging with key stakeholders, coordination of exam prep meetings and exam meetings as appropriate
- Participates as appropriate in regulatory meetings and provides support with compiling required regulatory meeting materials
- Recommends actions to respond to additional in-flight exam requests
- Reviews and co-ordinates GITRMs position on proposed regulatory observations or findings and facilitates response
- Tracks and reports on any examination remediation activities
- Facilitates meetings with remediation teams as a means to ensure remediation targets are met
7
Experience For AVP Senior Regulatory Compliance Officer Trade Resume
- Interfaces with members of the US GPO in preparation for RRCC Panel, or OSFI Internal Remediation Panel
- Interfaces with T&O Risk Governance on all regulatory exam communications and activities
- Works with Remediation Leads for issue status updates on milestones and development of proof of completion packages
- Influence and create sense of urgency as required
- GITRM 1A and 1B
- Internal Audit and Compliance
- Provide subject matter expertise to support and drive the implementation and enhancement of the Global Markets Surveillance solutions
8
Experience For Gf-south Asia Regulatory Compliance Officer Resume
- Analyze and investigate potential instances of market abuse and misconduct detected by the solutions
- Imperative escalation of potential regulatory and internal market misconduct breaches to Compliance Senior Management
- Improve overall efficiency of the process and individual performance within the team
- Assists management and the line of business Compliance Officers in identifying and containing compliance risk, monitoring, reporting, and certification, fostering a compliance culture and optimizing relations with regulators
- Be responsible for tracking regulatory changes and perform initial impact assessment on regulatory changes to Singapore
- Track action plans on regulatory changes and any emerging regulatory issues and liaise with relevant stakeholders for appropriate closure
- Support regulatory reporting to various APAC and Singapore Management Committees
- Engage and collaborate with global Surveillance team
- Monitor and ensure adherence to agreed performance levels
9
Experience For Bank Regulatory Compliance Officer Resume
- Draw on relationships to deliver enhancements to the process and technology used by Global Markets Surveillance within your asset class
- Manages communication with Singapore regulators and liaise with relevant stakeholders and management where there are self-reportable incidents or breaches
- Support maintenance of the Singapore obligation register
- Investigate and review regulatory enquiries to assess whether there was any suspicious activities that requires internal or regulatory escalation
- Development and maintain of comprehensive policies, procedures and other compliance risk controls (i.e., monitoring/testing) to ensure ongoing compliance with applicable laws, regulations, rules, standards and guidelines (i.e., best practices)
- Develop and manage compliance training programs to ensure adequate knowledge and understanding among SGUS personnel of firm policies, procedures and regulatory requirements
- Apprise management of significant compliance risks and potential breaches of regulation or policy as well as proposed changes in rules and regulations that could affect our business
10
Experience For AVP Regulatory Compliance Officer Resume
- Work experience as a Quality Control Analyst is a benefit
- Issuance of applications in company’s internal system to generate (new) codes for supply chain management
- Working experience as a Quality Assurance Officer or Regulatory Compliance Officer in the pharmaceutical industry in a Manufacturing environment
- Capability to discuss and solve issues together with other business units
- Assist with Regulatory Reviews and On-Site Inspections (including collating pre-review/inspection deliverables, acting as Compliance note-taker during meetings and responding to additional information requests during the course of an Inspections)
- Maintain the Regulatory Correspondence Registers and ensure accurate tracking of regulatory related responses within the required timelines
- Partner with businesses/functions to oversee the timely completion of risk mitigation programmes and preparation of related MIS/reports
List of Typical Skills For a Regulatory Compliance Officer Resume
1
Skills For Senior Regulatory Compliance Officer Resume
- Experience leading regulatory remediation activities
- Experience in Supply & Trading, business analysis, or compliance and sustainability
- Experience working across different functional boundaries eg. Operations, Commercial and EHS
- Develops and maintain good working relationships with NLC personnel, service provider compliance officers, as well as management
- Solid knowledge of the Bank’s Policies and Procedures in relation to Risk
- Build strong sustainable relationships with customers
- Relevant financial industry experience, especially with a regulatory, legal or compliance background
- Relevant financial industry experience, especially with a Singapore regulatory, legal or compliance background
- 7 - 10 yrs. combined Compliance/Audit/Risk Management/Finance experience
2
Skills For Assistant VP Senior Regulatory Compliance Officer Resume
- Process analysis, design and improvement experience
- Working knowledge of securities regulatory requirements, investment limitations, and operating policies for mutual funds
- Working knowledge of bank financial accounting concepts
- Liaising with eternal certification bodies, external test suppliers, arranging supply of test units
- Ensuring correct certification for all products (e.g. electrical, gas and water)
- Tracking of expiration dates and lodgement of all documentation required as part of the certification process
- COMAH classification of all incoming material for Refining. Tracking material through refining process, ensuring labelled appropriately
- Preparation of paperwork for green material leaving Brimsdown and overseeing paperwork at Noble Metals for similar material requiring onward processing
- Support the ongoing coordination, maintenance and updating of the company’s regulatory and compliance training programs
3
Skills For AVP Senior Regulatory Compliance Officer Surveillance Investigations Resume
- Coordinate and drive GITRM regulatory activities (SOD, Pull List, Remediation Tracking & Reporting)
- Provide support and guidance for our expanding off-shoring function
- If assigned to act as Regulation Coordinator for a particular regulation, they have the following responsibilities
- The underpinning legislative knowledge to interact with sales teams and customers
- Fluent in financial industry concepts, environment and emerging developments
- Interact directly with regulatory examiners and other staff in responding to regulatory examinations and routine requests for information
- Work across various technology platforms (surveillance, analytics, trading platforms, etc.)
- Precise working and documentation style
- Ensure timely input of all required Regulatory data in the Regulatory Exam Tracking System and iCAPs system
4
Skills For Senior VP Regulatory Compliance Officer Resume
- Background in law, logistics or a detail-focused discipline
- Provides support as requested to ensure that a HNAH-wide Training Needs Assessment 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
- Assists management in providing advisory services and direction to all business and support areas regarding assigned regulations, regulatory requirements and/or compliance risks
- Assist in providing advice and direction to the related area of responsibility under the direction a senior officer
- Assist in responding to compliance related questions from his/her related area of responsibility
- Act as a resource within the applicable compliance function
5
Skills For AVP Senior Regulatory Compliance Officer Surveillance Assurance & Validation Resume
- Maintains external awareness of research trends, information, and techniques related to the management of assigned regulation(s), regulatory requirements, and/or compliance risks and communicates this information to the business and throughout the Compliance function
- Serves as Compliance function’s point of contact on assigned regulation
- Contributes to decisions on applicability of assigned regulation to HNAH’s business units and assessments of state of controls for ensuring compliance with regulatory requirements
- 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
- Generally supports an effective control environment by consulting with the line of business LCO and business partners on the development of and changes to products and services and new vendor relationships
6
Skills For Legal & Regulatory Compliance Officer Resume
- Provides guidance on new and modified regulations as well as current risk assessment results related to assigned regulatory requirements
- Ensures that a HNAH-wide Training Needs Assessment (TNA) has been created for assigned regulation(s), regulatory requirements, and/or compliance risks to reflect the training required by the lines of business and by Compliance on an annual basis
- Represents Compliance function as a member of various business and governance committees
- Has responsibility for the Surveillance team’s role in Trade Reconstruction in accordance with Dodd Frank Act Title VII
- Focus on clients and manage multiple activities
- Facilitate exam interactions and responses
7
Skills For AVP Senior Regulatory Compliance Officer Trade Resume
- Escalation to GITRM leadership of exam concerns / identified gaps
- Escalate material legal, regulatory, reputational and compliance risks and/or incidents to the Bank’s senior management
- BSc Hons in a relevant scientific subject or equivalent
- Knowledge of COMAH desirable, ideal knowledge of Waste and REACH regulations
- Gain trust and confidence with clients
- Think laterally, innovate and adapt technologies in the creation of new products or solutions for customers
8
Skills For Gf-south Asia Regulatory Compliance Officer Resume
- Able to grasp and translate broad and theoretical concepts into practice
- Deep regulatory and procedural knowledge of some or all of the following: cGMP, GCP, GLP (ICH), 21 CFR Part 11/Annex 11 (EU) and Medical Device regulations and related guidance
- Interpret legislation and regulations, implement policies and procedures effectively
- A strong understanding of the rules relevant to trading and sales activities for Fixed Income
- Bank Secrecy Act or relevant banking experience with an advanced knowledge of Bank Secrecy Act regulatory framework. (Required)
- Understanding of IEEE GAMP guidance for development of systems and software for the pharmaceutical and medical device industries
9
Skills For Bank Regulatory Compliance Officer Resume
- Significant familiarity with HIPAA privacy and security regulations and GDPR as applied to life sciences and clinical research data collected at clinical sites globally
- Highly developed analytical, communication, critical-thinking and problem-solving skills
- Willing to develop personal regulatory knowledge
- Assist attorneys with the development of legal training materials for agencies and company employees
- To have an analytical, enquiring mind
10
Skills For AVP Regulatory Compliance Officer Resume
- Be a motivator with visionary ability and capacity to implement new ideas in a positive and supportive manner
- Interpersonal skills including the ability to listen actively and responsively, delegate responsibilities appropriately and facilitate effective and successful relationships within a matrix management structure
- Effective and persuasive negotiation skills in order to achieve effective regulatory, legal and operational compliance objectives
- Self-starter with the ability to work independently in a fast-paced and flexible corporate environment
- Strong team player with strong collaboration and project/portfolio management skills. Ability to work seamlessly with other members of extremely collegial and supportive business team and organization
List of Typical Responsibilities For a Regulatory Compliance Officer Resume
1
Responsibilities For Senior Regulatory Compliance Officer Resume
- Very good English and French language skills in both speaking and writing
- Strong computer skills, particularly Word or similar
- Excellent communication skills and the ability to engage stakeholders at all levels and be self-motivated
- Hands on experience of working on electrical or mechanical products, eg testing, diagnostics, assembling etc
- Experience leading examinations
2
Responsibilities For Assistant VP Senior Regulatory Compliance Officer Resume
- Experience in a role which has given them exposure to internal control framework (e.g. audit, regulatory inspectors),
- Experience in local regulatory environment and framework is essential
- Extensive experience with the product dossier compilation and/or registration process
- Sets priorities and makes day-to-day decisions with supervision
- Extensive experience in the financial industry in either compliance, risk control or an internal audit department, consultancy firm or a regulator
- Experience with sensitive, confidential and/or regulatory related communication
- Consumer compliance experience in a financial institution
- Work in a fast-paced environment, prioritize workload, learn new things quickly and meet deadlines
3
Responsibilities For AVP Senior Regulatory Compliance Officer Surveillance Investigations Resume
- Experience with supervisory compliance examination process and procedures under the CFPB and OCC
- Experience as a regulatory bank examiner or financial industry compliance professional, consultant or auditor
- Bring up to date and support legal research database and research resources
- Support in the training /coaching /mentoring of team members
- Process Certificates of Label Approval including review of product labels and packaging for compliance with federal labeling regulations
4
Responsibilities For Senior VP Regulatory Compliance Officer Resume
- Participate as Subject Matter Expert in the creation and delivery of appropriate training and business materials relating to regulatory and compliance
- EHS approval of all incoming material for Refining
- A legal, accounting/audit or financial services background, preferably with extensive exposure to the review and sign-off of marketing material in the
- Act as the key regional representative driving the implementation of a global regulatory developments tracking tool and obligation register
- Communicate with local and SE Asian product management and QA teams regarding testing, certification and compliance procedures for new products
- Hold Letter of Authority (LoA) and meet ongoing LoA Training Plan
- Work as a Senior member of the Regulatory Compliance Office team and take responsibility for the following activities
5
Responsibilities For AVP Senior Regulatory Compliance Officer Surveillance Assurance & Validation Resume
- Self-identification (self-reporting and self-audits) and the subsequent implementation of corrective actions,
- Provide Customer Service to Covered Workers in regards to the requirements within the Personal Account Dealing (“PAD”) policy
- Conduct ongoing and Annual Certification to the PAD policy
- Active participation in regular User Acceptance Testing to ensure all requirements have been implemented correctly
- Key role in HR Supporting Processes– Annual FandP certification, MRT Refresh and CP Job Codes process and reconciliation
- Provides assistance in the development and maintenance of supporting policies, procedures, agreements and contracts
- Provide training to users of the tool
- Coordinate or produce regular MI reports to key internal stakeholders including analysis of the MI
6
Responsibilities For Legal & Regulatory Compliance Officer Resume
- Maintain day to day compliance with all federal and state licensing, performance and tax liability bonds
- Develop processes to improve efficiency and assure compliance with licensing laws
- Develop working professional relationships with Board personnel
- Manage Corporate Agent services, receiving monthly compliance updates
- Interacting with regulators, senior management, business and control function employees in a professional manner
7
Responsibilities For AVP Senior Regulatory Compliance Officer Trade Resume
- The ability to respond and readily adapt to an ever changing regulatory environment
- Liaise with Regulatory Authorities, where required, to respond to information queries and coordinate various meetings
- Conducts job tasks in compliance with operating procedures and standards for the Fulton Financial Corporation Anti-Money Laundering program. Provides guidance to personnel and business units in the management of the Anti-Money Laundering compliance program
- Develops quantitative metrics, qualitative metrics, and indicators for measuring Anti-Money Laundering compliance performance. Provide key highlight trends, risks, and opportunities
- Remains current on industry best practices, laws, regulations, and risk management disciplines to enhance the Anti-Money Laundering compliance program. Applies knowledge of regulatory guidelines and industry best practices in recommendations to mitigate risk
8
Responsibilities For Gf-south Asia Regulatory Compliance Officer Resume
- Preparation and submission of registration documentation (Chemistry, Manufacturing and Control (CMC))
- Building effective relationships with regulators in Singapore, and managing regulatory reporting, onsite audits and regulatory enquiries, in coordination with the respective Country Compliance Officers
- Apply and support GSK HSE requirements
- Anticipate change consequences on health, security and environment
- Management of product registration projects and conducting routine regulatory operations to ensure compliance with country laws and regulations ensuring these are consistent with MSD Animal Health’s policies and standards, and reflect MSD’s Code of Conduct
- Manage implementation of Compliance Exam Management functionalities within Bwise GRC Tool
9
Responsibilities For Bank Regulatory Compliance Officer Resume
- Manage regulatory examinations of SG’s U.S. branch, agency, and representative offices (Chicago, Atlanta, Irvine, Santa Monica, Houston and Dallas)
- Assist with CMBS business line compliance matter
- Develops, implements and manages regulatory compliance program as required for some or all of Life Sciences CRO and CRO component services (BPO, BPaaS, PaaS, SaaS delivery models); Life Sciences Products and Platforms lines of business and other tools used in support of regulated activities
- Provides thorough oversight, internal advisory/consulting and monitoring/reporting activities to ensure compliance with all applicable global regulations
- Works with executive and senior management on strategic and operational planning activities to ensure compliance with all applicable global, US federal, state laws and regulations, and managing compliance risk to lowest levels
10
Responsibilities For AVP Regulatory Compliance Officer Resume
- Interfaces with compliance professionals across Cognizant domains to ensure that Life Sciences lines of business conform to applicable laws and regulations globally as well as to all Cognizant Corporate Compliance standards, policies, and practices
- Interprets and communicates pending and adopted legislation and regulations to the appropriate departments and groups in the Company
- Assesses and manages regulatory risk across all Life Sciences lines of business
- Manages the Life Sciences implementation of new laws and regulations affecting regulated activities and products. Reviews the Company’s Life Sciences operations for adherence to compliant policies and procedures
- Manages a set of compliance risk metrics derived from a effective mixture of internal auditing, self-reporting, and monitors the analysis of compliance metrics to determine appropriate escalations to senior management
- Determines when and how to recommend the reporting of issues/instances of noncompliance to state, federal, and international regulatory agencies as related to Cognizant activities
- Establishes and maintains processes and procedures to ensure earliest possible detection and remediation of instances of regulatory non-compliance, including proper reporting, documentation, and tracking of deviations or potential deviations as appropriate or required
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