Senior Manager, Regulatory Compliance Job Description
Senior manager, regulatory compliance
provides regulatory compliance advice to businesses and related support function to facilitate new business, products and services.
Senior Manager, Regulatory Compliance Duties & Responsibilities
To write an effective senior manager, regulatory compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included senior manager, regulatory compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Collaborate with various business units with changes to the business practices, contracts or agreements or new business items that may impact the regulatory and/or metrics reporting for the business unit
Provide consulting, advisory services, which are consistent with our role to evaluate and improve the effectiveness of risk management, control, and governance processes, providing the services do not represent a conflict of interest or detract from our mandate
Manage and provide specialist support to Business Owners and\ or regulatory change projects on the process and procedures required to obtain new or amend existing permissions, including quality control of completed applications
Draft alerts about enforcement actions and changes to regulatory approach such as speeches and business plans
Maintain effective working relationship with key stakeholders by providing consulting, advisory services to ensure they get maximum value from our engagement work
Uses data and performance indicators to establish and develop metrics and key risk indicators to identify trends in business activities and evaluate the effectiveness of established policies, procedures and controls
Serve on as US team designee to Global Project Teams and Global Regulatory Subteams for assigned marketed products (Oncology)
Interface with electronic submission operations group to ensure high quality and complete submissions
Lead or participate in a team of professional auditors responsible for all aspects of an audit
Identify competent and sufficient resources, with relevant skill sets to meet each audit
Senior Manager, Regulatory Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Senior Manager, Regulatory Compliance
List any licenses or certifications required by the position: CRCM, CPA, CIA, CFSA, CAMS, GCF, PTCRB, ATP, PMP, ISACA
Education for Senior Manager, Regulatory Compliance
Typically a job would require a certain level of education.
Employers hiring for the senior manager, regulatory compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Finance, Accounting, Law, Engineering, MBA, Management, Economics, Legal, Science
Skills for Senior Manager, Regulatory Compliance
Desired skills for senior manager, regulatory compliance include:
Operations
Products
Systems and organization
Assigned businesses
Business
Regulatory Compliance requirements applicable to the business
Services
Local securities environment
Mutual fund related activities
Operations and systems and full understanding of all significant regulatory compliance requirements
Desired experience for senior manager, regulatory compliance includes:
May serve as a subject-matter expert for specific regulations, regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the businesses in the US
Ensures alignment with regulatory requirements, HNAH’s Enterprise Compliance Policy and Program, the CRMP Manual and other Group policies
As appropriate for the role, ensures alignment with regulatory requirements, the Compliance FIM, HNAH’s Enterprise Compliance Policy and Program, the CRMP Manual, HNAH’s BSA/AML Policy, other Group policies and all related policies and procedures
The position exercises a high degree of decision-making authority with respect to compliance policies, procedures and requirements in Retail Banking, including new product approval
To implement the Group Compliance policy locally by managing compliance risk in liaison with the Head of Group Compliance, Regional Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources are in place and training is provided, fostering a compliance culture and optimizing relations with regulators
Bachelor’s degree (a legal degree or background is a plus)
Senior Manager, Regulatory Compliance Examples
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Senior Manager, Regulatory Compliance Job Description
Job Description Example
Our innovative and growing company is looking for a senior manager, regulatory compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for senior manager, regulatory compliance
- Identifying and supporting business development initiatives
- Review existing and changing laws, to translate them (with minimal legal support) into forms usable by the business
- Lead on design, delivery and implementation of business focussed compliance training
- Ensure appropriate working paper evidence of findings is maintained
- Manage performance of on-site audit work and review working papers for sufficient scope and accuracy when audit lead
- Maintain IAS standards, in the planning, execution and reporting
- Responsible for the creation, issuance and updating of product documentation
- Utilize analytical skills to review and assess profit and funding mix forecasts, funding, contingency, recovery and resolution plans and remediation activities related to contingent liquidity
- Focus on capturing market risk exposures and work closely with local risk managers to develop risk measures and limits for all non-trading market risk portfolios across all regions and entities
- Analyze risk positions to identify if any material risks are currently unreported or unhedged
Qualifications for senior manager, regulatory compliance
- IFIC Mutual Funds Course or Canadian Securities Course, and Partners, Directors, Officers course, Chief Compliance Officer’s course are required
- Full understanding of all significant laws, regulations, and regulatory compliance requirements applicable to portfolio management and/or financial planning firms
- Reports to the Senior relationship manager
- 5-10 Years Leadership role in Audit, Compliance, Risk Management related to Outsourcing or Supplier Risk Management
- Leadership experience in Assurance, Testing, Reporting
- Excellent facilitation, written and oral communication and presentation skills, ability to communicate effectively with Senior and Executive Management and Operating/Oversight Committees
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Senior Manager, Regulatory Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking for a senior manager, regulatory compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior manager, regulatory compliance
- Oversight for RESL business on annual CDIC FID testing
- Ensure that operations within area of responsibility are in compliance with applicable internal and external requirements by completing periodic control testing and reviews
- Manage the quarterly, annual and ad hoc regulatory reporting process ensuring compliance with the SEC, FINRA, Federal Reserve and State requirements
- Assist and support users and presenters in report interpretation and utilization
- Collaborate and coordinate FDA interactions and submission activities with Marketed Product and Development Regulatory Leads in Global and Development Regulatory Groups
- Review and prepare regulatory documents for eCTD submission to FDA in compliance with requirements including Meeting Requests, Briefing Documents, CMC and Labeling supplements, General Correspondence, Annual Reports and Periodic Safety Reports, and other submissions
- Technical assessment of submission content against commitments, regulations, and guidance documents
- Review of protocols, and additional regulatory documentation as required
- Maintain appropriate documentation for FDA contacts and submissions according to SOPs
- Update and maintain Regulatory department tracking databases for planning, scheduling, submissions, action dates, and overall project coordination and management
Qualifications for senior manager, regulatory compliance
- This role needs to lead without authority and be able to collaborate with multi stakeholders and deliver results
- BS (or higher) degree in engineering, biotechnology, biomedical, material science or related field
- Over 10 years’ experience (3-5 years of experience in manager position) preferably in medical device, bio-pharm or pharmaceutical industry environment
- Experience of quality system requirements to worldwide markets
- Attention to detail in setting, conducting, and documenting
- Ability to communicate efficiently with the experts in other scientific and technical fields, and a willingness to learn new skills
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Senior Manager, Regulatory Compliance Job Description
Job Description Example
Our company is looking for a senior manager, regulatory compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior manager, regulatory compliance
- Interacts with Executive Leadership in business, Compliance and Legal on matters impacting Regulatory Operations
- Provides compliance advice with respect to the portfolio of regulatory reports supported by Regulatory Operations
- Supports business and IT efforts to ensure data quality and consistency standards are met
- Under direction of Chief Compliance Officer for Operations, Finance & Technology, supports special projects or initiatives related to strategic operation of the Compliance team and Compliance Framework
- Agency liaison for NDA/BLA supplements, maintenance activities, and OPDP submissions, as required
- Management of NERC CIP-002 BES Cyber Asset Identification Process across Eversource
- Management of NERC CIP-014 Physical Security Program
- Bulk Electric System Facility Identification Process
- ISO-NE Thermal Ratings Process
- Asset Retirement Obligations for Transmission and Distribution
Qualifications for senior manager, regulatory compliance
- Medical Device audit certification(s)
- ONESTEP & other internal quality management systems (ETMS)
- Bachelor Degree in Life Science or related discipline, higher degree preferable (Pharm.D., MSc, PhD, MBA)
- Minimum of five years of experience within the biotech/pharma industry
- Understanding of the US laws/regulations related to Clinical Development
- Professional experience in a global / multi-national company environment (Pharma/Biotech/CRO)
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Senior Manager, Regulatory Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking for a senior manager, regulatory compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for senior manager, regulatory compliance
- Providing timely advice to the business in support of eNett’s growth (as per position overview above)
- Providing analysis as required on the impact of changing or new AML/CTF and sanctions regulatory obligations on the business
- Supporting first line operations in evaluation of any unusual/suspicious behaviour
- Monitor changing regulation and log proposed and impending changes, and log them as appropriate into information-sharing and collaboration tools (currently sharepoint)
- Build and maintain the Group's Obligations registers – including facilitating the regulatory change implementation process
- Support the Deputy CRO – Regulatory Risk and Compliance and team
- Support and advise management concerning regulatory implementation projects, as appropriate
- Develop and manage productive internal and external control relationships with Operational Risk, Compliance, GAML, Privacy, Legal, Consumer Legislation, Audit, and Strategic Sourcing
- Work with RESL partners to mitigate exposure to regulatory and reputational risks by ensuring a strong control environment
- Represent RESL at monthly Risk Officer meetings convened by TDCT Operational Risk and Canadian Privacy
Qualifications for senior manager, regulatory compliance
- Previous experience with the processes and functions of Regulatory Affairs
- Professional experience in process improvement initiatives as it relates to the Regulatory Affairs function and wider scope of the drug development lifecycle
- Position may require up to 20% travel, domestic and/or international
- Prefer 7-10 years of experience in food/beverage, flavor or related industry
- Prefer 5 years minimum in Regulatory Compliance for senior specialist role
- Minimum 2 years proven/demonstrated management skills
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Senior Manager, Regulatory Compliance Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of senior manager, regulatory compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for senior manager, regulatory compliance
- Work collaboratively with business leadership teams to proactively meet strategic objectives for internal investigations, local employment compliance, employment contract management, federal regulation compliance
- Identify compliance issues and consult appropriate business partner(s) to address difficult issues that may require additional follow-up or broad investigation
- Provide leadership and expertise in interpreting and evaluating risk associated with audit findings and provides direction and support to Business and Quality groups in the development of corrective action plans that systemically address issues
- Participating in periodic status meetings convened by Strategic Sourcing group relating to the material outsourced relationship with material 3rd party vendor relationships
- Review monthly FCAC complaints report and participate in any investigation or remediation activity coordinated by FCAC Compliance
- Facilitating remediation/tracking of findings by Audit, Regulators and other Risk and Compliance oversight groups including Global AML
- Coordinate all activities related to BCMs, RCSAs, Audits, KRI reporting
- Management and compliance to AML segment policy, Risk Assessments and AML/ABAC Testing
- Oversight of various reporting for compliance and controls, including semi-annual SOX certification
- Annual review of Regulatory Policy/Compliance’s documented controls
Qualifications for senior manager, regulatory compliance
- Is expected to operate with a high degree of autonomy once Conduct project plans are approved and reporting and governance requirements are established with the Head of RC Conduct Risk
- Is expected to collaborate with the Head of RC Conduct Risk to create education and communications plans, then operate with a high degree of autonomy to implement those plans once they are approved and reporting and governance requirements are established
- Is expected to advise the Head of RC, Conduct Risk on the work to advise and challenge RC Monitoring and Testing
- Will report to the Head of RC Conduct Risk, who reports, in turn to the Head of Regulatory Compliance (Canada) and the Global Head of Conduct Compliance
- Ability to maintain confidentiality, integrity, and transparency
- Knowledge and experience in change management and conflict resolution, an understanding of how decision making impacts others and strategic thinking