Regulatory Officer Resume Samples
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Regulatory Officer Resume Samples
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ND
N Dietrich
Nova
Dietrich
2252 Candido Ramp
Boston
MA
+1 (555) 663 1601
2252 Candido Ramp
Boston
MA
Phone
p
+1 (555) 663 1601
Experience
Experience
Boston, MA
Regulatory Officer
Boston, MA
Dare and Sons
Boston, MA
Regulatory Officer
- Knowledge management, providing training, internal communications, raising awareness and updating the firm's knowledge repository
- Assist with the preparation, inventory and discrepancy investigation for Narcotics products
- Report regulatory issues and concerns with the potential to impact product quality to management
- Assist in the investigation and report all suspicious narcotic transactions and losses
- Assist with the preparation and completion of Regulatory documentation such as deviations reports, change controls, trending and Route Temperature profiles
- Assist with the authorization, processing and managing all returned narcotic product
- Manage licence and signing authority applications with Health Canada
Boston, MA
Regulatory Support Officer
Boston, MA
Schaden, Schamberger and Pollich
Boston, MA
Regulatory Support Officer
- Conduct periodic visits to assigned locations and complete the following activities
- Periodically review a % of new accounts and existing accounts for documentation completeness
- Fix administration file deficiencies
- Manage various reports such as returned mail audit reports,
- Review of quarterly branch profile report
- Review of branch signage, brochures and business cards
- Complete the following activities as per documented procedures
present
New York, NY
Compliance Officer, Regulatory Office
New York, NY
Witting-Nienow
present
New York, NY
Compliance Officer, Regulatory Office
present
- Support SFC and HKMA licensing matters including examination and CPT tracking
- Monitor business lines’ compliance activities by conducting risk-based compliance control testing
- Develop, facilitate and track compliance training programs for CIB staff on new / updated banking regulations
- Analyze new banking regulations and rules
- Liaise with regulators and coordinate / perform regulatory reporting, self-assessments, inspection and investigation, and handle requests from regulatory authorities
- Conduct compliance training
- Coordinate with other compliance officer on compliance reporting per regulators and CIB compliance requests
Education
Education
Bachelor’s Degree in Credibility
Bachelor’s Degree in Credibility
Baylor University
Bachelor’s Degree in Credibility
Skills
Skills
- Knowledge of business processes & procedures and the ability to offer solutions to the Company where issues exist
- Being able to learn and understand new subjects quickly, and deliver high quality output within tight deadlines
- Takes a hands-on practical problem-solving approach to achieving business outcomes and to ensuring that the right business culture and behaviours are being pursued
- Strong organisational skills and ability to enjoy working well under pressure
- Exceptional verbal and written communication skills and good active listening skills, including the ability to
- Attention to detail
- Ability to deal constructively with uncertainty and ambiguity
- Able to meet core skills as documented within the Compliance team skills matrix as appropriate to the role
- Advocates client service as a core discipline
- Persuasive and credible influencing and negotiating skills
15 Regulatory Officer resume templates
Read our complete resume writing guides
1
Business Coverage Officer Execution & Regulatory Engagement Resume Examples & Samples
- Mandate focuses on
- 5+ years of industry experience with project management / regulatory background
- Solid knowledge of investment banking processes – front to back
- Experience of dealing with senior management
- Excellent core organizational, presentation and communication skills
- Relationship building skills
- Actively shares knowledge and contributes to key projects in their field
- Ability to multi-task in a fast paced environment and effectively interface with senior management
2
Regulatory Officer Resume Examples & Samples
- Bachelor Degree with at least 7 years of relevant experience. Professional qualifications (Chartered Accountant, Legal, AML or Compliance Diploma) would be advantageous
- Experienced compliance officer at an executive or senior level with significant experience in a sophisticated business environment
- Possesses a track record of dealing successfully with regulators
- Project experience - proven ability to devise and implement appropriate solutions
- Ability to establish a high degree of credibility, respect and trust at all levels, but particularly with external stakeholders and regulators
- Ability to build relationships across the firm (jurisdictions and service lines), in particular with senior personnel
- Ability to lead, take responsibility and act autonomously
- Strong personal communication skills, capable of dealing with wide range of staff
- Effective planning and organising skills to prioritise key areas of responsibility, tasks and projects
- Problem solving capability – in a creative and effective manner
- Ability to take difficult decisions and provide substantiated arguments
- Negotiation and influencing skills
3
Senior Compliance Officer Complaints & Regulatory Inquiries Resume Examples & Samples
- Developing Policies. Practices. Procedures. Systems and Training Programs
- Remedying Non-Compliance and Resolving Problems
- Must have a thorough, current knowledge of Regulations applicable to the sale and distribution of Mutual Funds, including MFDA Rules, Policies and Member Regulation Notices, applicable National and Multilateral Instruments and provincial and territorial securities statutes and regulations
- Knowledge of relevant SSI and Bank policies, procedures and manuals and SSI/BNS investment products
- Skills including sound judgment, communication and people skills in order to effectively interact with staff, branches, regulators and complainants. Effective reporting to Senior management is also a critical component of the job
- He/she is expected to have superior English writing proficiency and at least 5 years work experience in the investment funds industry
- He/she is expected to maintain an in-depth knowledge of regulatory matters and to escalate serious issues promptly to the Senior Manager, Mutual Fund Dealer Compliance
4
Regulatory Oversight Officer Resume Examples & Samples
- Assist with managing the relationship with the various regulatory agencies, including preparing for the various examinations processes
- Work with business unit management to prepare for and manage their specific regulatory examinations
- Ensure all materials requested are reviewed and provided timely to the various regulatory agencies
- Assist in drafting responses to regulatory agency reports. Excellent knowledge of the Bank’s activities and related risk and controls is required
- Assist in providing information and reporting that will be distributed to all levels of executive management at BBVA Compass and the BBVA Group level
- Coordinate with the various business units to handle and respond to critical issues raised by the various regulatory agencies
- Assist in developing and managing the reporting process to management and various committees of the Bank and the Bank Boards
5
Regulatory Oversight Officer Resume Examples & Samples
- Assist with managing the relationship with the various regulatory agencies, including preparing for the various examination processes
- Have a high degree of knowledge of the Bank’s activities and related risk and controls is required
- Will assist with building and maintaining the reporting of outstanding regulatory issues, examinations and Regulatory Strategies reporting, as well as coordination with other Control Unit areas for combined reporting
- Close coordination with Legal, Compliance, Internal Audit as well as the various Lines of Business, Subsidiaries and other BBVA U.S. institutions
6
Compliance Officer Regulatory Governance Resume Examples & Samples
- 5 + years of experience in banking compliance, legal or other control-related function in the financial services industry
- Excellent analytical and written and verbal communication skills
- Experience with and previous exposure to internal control functions and regulators within the US and, in particular, banking regulators
- Ability to align existing and develop new policies, procedures, and guidelines
- Experience in system, program, workflow logic
- Experience in assisting in the management of large-scale, complex projects with a significant technology dependency, including acting as the central liaison for cross-sector stakeholders
- Experience with designing and presenting actionable reporting to senior-level management
7
CRM Regulatory Self-assessment Officer Resume Examples & Samples
- Primary responsibility for regulatory coordination and advice; expected to develop a strong knowledge of the Bank’s internal credit policies and procedures as well as current and planned regulation
- Setting up self-assessment templates including identifying the relevant rules for the legal entity/ies in scope, categories of compliance, reporting date, and primary owners
- Coordinating the response to each rule with the primary owner, including collecting the response, assisting with drafting, providing quality assurance reviews of the response, reviewing all responses for internal consistency
- Setting up Quality Assurance panels to review rules where CS is not fully compliant or where there are questions over rule interpretation and level of compliance. Taking minutes of QA panels, tracking actions, and checking that any revised responses address QA panel’s actions
- Providing Management Information to Team head and Senior Risk committees on overall completion of responses, current levels of compliance, remediation plans
- Assisting Senior Management in CRM with their internal reviews of the responses, including putting together summary information packs that can be used for self-attestation by SIFs
- Acting as the central point of contact with internal audit, external audit and the regulators for any reviews that they perform
- Manage self-assessment against regulatory changes affecting existing compliance. Participate in firm-wide regulatory rule mapping projects
- Support the Head of PB CRM in regulatory project planning and resourcing
8
Regulatory Inquiries Group Compliance Officer Resume Examples & Samples
- Research, analyze and respond to regulatory inquiries from the US Securities and Exchange Commission (SEC), US Commodities and Futures Trading Commission (CFTC) and Self-Regulatory Organizations (SRO) relating to Federal laws and SRO/Exchange rule violations (e.g., ISE & CBOE option rules, NYSE principal trading, insider trading, Regulation M, front-running, information barriers, etc.)
- Analyze complex trading data to distill the information into responses regarding trade executions/order handling
- Interact directly with Business Unit personnel, sales traders/traders, technology personnel, external and internal counsel, operation personnel, compliance coverage, etc. as required, to investigate, gather Firm documents, analyze and respond to complex trade inquiries
- Prepare formal responses to regulators and provide advice to business and compliance personnel
- Respond to “real time” trading situations presented by Regulators relating to best execution issues
- Bachelor degree with a minimum 5 - 10 years of experience in either a self-regulatory organization such as the NYSE, FINRA, AMEX, SEC or similar broker/dealer regulatory work with an emphasis on trading rules and institutional securities business
- Ability to understand complex trading technologies in order to analyze and extract trading data to respond to regulatory inquiries implicating SEC and SRO rules and regulations
- Excellent interpersonal skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel
- Ability to work independently in responding to complex regulatory inquiries
- Must possess strong computer skills
9
Regulatory Monitoring Officer Resume Examples & Samples
- Planning, developing and delivering upon major initiatives in collaboration with clients and technology support teams
- Management of a diverse group of personnel including Senior Managers involved in the preparation / review of regulatory filings (ex: Form PF, CPO-PQR, Annex IV, etc)
- Key focus on client deliverable timelines
- Involvement in new product generation and implementation
- Expertise in procedure reviews; Lead various projects and initiatives to enhance and improve operational efficiency through technology and other means; Recommending and implementing improvements to existing procedures, control expenses and minimize loss and risk
- Appreciation of fiduciary risks and responsibilities associated with fulfilling legal and compliance requirements
- Sound professional judgment in evaluating when external consultation is required
- Demonstrated ability to work with clients effectively on non-standard transactions
- Involvement in new client presentations from an operational perspective
- Flexibility to work at both a high level overview as well as being able to direct clients in relation to the detail of their filings
10
Regulatory Support Officer Resume Examples & Samples
- Conduct periodic visits to assigned locations and complete the following activities
- Periodically review a % of new accounts and existing accounts for documentation completeness
- Fix administration file deficiencies
- Manage various reports such as returned mail audit reports,
- Review of quarterly branch profile report
- Review of branch signage, brochures and business cards
- Complete the following activities as per documented procedures
- Complete client file reviews
- Handle CRT notifications and follow up with registrants to ensure that issues are resolved
- Manage all client complaints to resolution including reporting, documentation, filing of loss reports and compensation (if appropriate)
- Follow up on debit balances with registrants to ensure that balances are covered
- Manage the IIROC registration process for all new registrants
- Submit all material changes / notices of termination within established timelines
- Manage the ISI mail delegation letter and ensure that a process is in place at all designated branches for independent review of incoming mail for all registrants
- Manage the Items Requiring Attention Report and follow up with registrants until the item is resolved
- Submit PRO account notification
- Ensure that all required procedures are followed to relocate an ISI Advisor and if the Advisor is transferred to an external designated branch, liaise with the appropriate Field IIROC BM to ensure that the transition occurs following appropriate procedures
- Complete the RR Code Verification
- As appropriate, complete the annual branch/sub branch review
- Manage, as appropriate transitions in/out from CIBC Securities Inc to Imperial Investor Services
- Complete monthly reporting
- Working with the Senior Manager, IIROC Regulatory Support, prepare monthly reporting for each Retail Distribution Branch Manager with IIROC registrants
- Conduct a monthly meeting with the DVP responsible for the designated branches to provide a district summary
- Provide risk awareness support specific to IIROC licensed registrants
- Keep professional knowledge current, particularly related to IIROC and CIBC compliance requirements
11
Consumer Regulatory Report Officer Resume Examples & Samples
- BS degree in Econometrics / Finance
- High responsibility, interpersonal and problem-solving skills
- Good at time management
12
GTI Regulatory & Controls Officer Resume Examples & Samples
- Partnership and liaison with external audit and regulators - either directly or mediated through internal compliance and LOB Technology Control organizations
- Management of RFI (Request for Information) for global external audits and regulatory exams - including Sarbanes & Oxley (SOX) and Statement on Standards for Attestation Engagements (SSAE16)
- Point of contact for specialist regulatory exams / audits
- Drive adherence to key controls and standards associated with Access Management - includes GTI compliance to key internal processes; Identity & Access Administration; Access Re-certification and Privilege Access
- Identify and executing areas of improvements across internal processes - increasing efficiency and productivity across the GTI Regulatory and Controls organization
- Considerable experience working in Technology Risk & Controls management or Technology Audit functions
- Considerable experience working in or with Infrastructure Technology
- Strong organizational and structured approach to work - consistently execution focused and proven track record of delivery
- Strong relationship management and liaison
- Understanding of Sarbanes & Oxley (SOX) and Statement on Standards for Attestation Engagements (SSAE16)
- Previous experience engaging with external regulators and/or auditors
- Experience working in the financial sector
13
Regulatory Inquiries Compliance Officer Resume Examples & Samples
- Handle the receipt, response, and follow-up for regulatory inquiries associated with RBCCM
- Field verbal and written inquiries from various regulatory agencies. This may also include investigations or exams initiated by regulatory agencies
- Extensive and comprehensive regulatory knowledge and expertise (3+ year minimum)
- Ability to interact with regulators
- In-depth knowledge of broker dealer rules and regulations
14
Regulatory Adherence Americas Compliance Officer Resume Examples & Samples
- Identifying global regulatory developments impacting Corporate & Investment Banking, Global Markets, Deutsche Asset Management, and Private, Wealth & Commercial Clients and working to coordinate the implementation of any required changes to current policy / practice as a result of new and amended rulemaking
- Advising on all action planning deliverables for relevant rulemaking (including front and back office system developments/enhancements and monitoring/surveillance needed)
- Managing junior team members on all aspects of the Regulatory Compliance process
- Drafting and updating Powerpoint presentations and other senior management reports, including those related to Dodd-Frank / MaRisk and other self regulatory / exchange rulemaking
- Drafting and updating policies and procedures to conform to new regulations
- Drafting compliance alerts and training for relevant businesses on new requirements
- 6 - 8 years of general broker-dealer / investment advisory / asset management / and/or bank regulatory experience, preferably in an investment bank or law firm
- Legal degree from US accredited law school
- Good knowledge of applicable SEC (33 Act, 34 Act and 40 Act), FINRA, MSRB, CFTC, NFA, NYSE and other federal securities and banking laws, rules and regulations
- MiFID II / MAR / Dodd Frank / MaRisk experience a plus
- OTC derivative/futures/swaps clearing experience a plus
15
Assistant VP Senior State Regulatory Administration Officer Resume Examples & Samples
- Supports regulatory compliance to include municipal, state licensing, state regulatory reporting and examination management
- Liaises with business partners to facilitate and coordinate data delivery and document production
- Assists with managing compliance to state and federal laws and regulations with regulatory filing deadlines for license filings, regulatory reporting and other mandated state activity/federal activity
- Assists with coordinating regulatory compliance with state licensing statutes, municipal ordinances, city codes, licensing laws, and administrative rules and procedures to include any major regulatory changes that affect licenses and registrations of assigned businesses
- Functions as a key resource in the State Regulatory Administration Department process for projects relating to procurement and maintenance of municipal and state licenses, OCC Charter licensing of the bank, SAFE Act Compliance, regulatory reports and examination support
- Contributes to regulatory compliance support provided to line of business
- Maintains knowledge of state licensing and regulatory reporting laws, rules, and regulations
- Maintains knowledge of municipal licensing procedures
- Has functional knowledge of the Nationwide Mortgage Licensing System
- Has knowledge of examination document production and support
- Proven experience managing regulatory relationships and examination management experience
16
Corporate Policies & Regulatory Tracking Compliance Officer Resume Examples & Samples
- RESPONSIBILITIES
- Advisory Compliance lead on all Citi global and regional policies
- Socialize within the region and coordinate the issuance of new policies, procedures and guidelines
- Perform all facets of policy implementation, including ensuring that global strategies consider local legal and procedures of the region, this will require a high level of interaction with the CCOs, General Counsels and CCCOs in the Region, solicit engagement to identify Compliance risks
- Aid in the drafting of Regional level policies, socialize them within the region and globally where needed
- Act diligently and proactively in the maintenance and communication of the entire compendium of compliance policies applicable to the region
- Maintain the LatAm Region Compliance website, coordinating content across Compliance teams
- Perform duties as Secretary of the LatAm Region Policy Approval Committee, chaired by the LatAm Compliance Region Head and attended by the LatAm Region CAO, General Counsel of LatAm and Senior LatAm Business Heads, or their delegates
- Work with internal / external stakeholders and proactively represent LatAm Region Compliance
- Act on behalf of LatAm in the development policies implementing regulations or other regulatory projects within the region
- Assessment of compliance and regulatory risk; define controls for mitigation
- Strengthen Citi's regulatory risk profile by: deepening the firm’s intelligence regarding areas of increased regulatory focus; strengthening practices to identify and resolve – across the region - control weaknesses identified in the course of regulatory exams
- Drive consistent execution of exam related responsibilities
- Lead in the administration and execution of regulatory exam tracking in the region, closely coordinating with partners in the Global Regulatory Governance Unit and Chief Country Compliance Officers
- Reporting and communication of regulatory exam status and findings regionally
- Administration of the RET system in LatAm
- Experience in a Compliance or Risk Management role with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
- Communicative, a problem-solver
- A highly articulate and effective communicator, especially in writing
- Proficiency in MS Word, Power Point and Excel
- BS/BA degree and 7+ years combination of education/experience in the financial industry or a control function
- Fluent in English and Spanish, Portuguese preferred but not required
17
Compliance Officer Regulatory Enquiries & Investigations Resume Examples & Samples
- Investigating and responding to information requests received from the Financial Conduct Authority) FCA) and other Regulators
- Investigating and responding to internal escalations relating to potential compliance risks, including market abuse and/or compliance breaches; including the reporting of any suspicious activity to the relevant authority
- Reporting relevant indicators for any incidents handled by the team to the relevant Stakeholders
- Providing continuous training, guidance, and mentoring to junior Team Members located in both London and Birmingham
- Attending and leading team meetings and coordinating relevant management information
- Assisting with the identification and implementation of improvements to team processes and procedures
18
Centralized Legal & Regulatory Service Team Resolution Officer Resume Examples & Samples
- Good interpersonal skills with ability to interact with customers
- Excellent coordination skills and strong aptitude for problem solving and analysis
- Proactive approach in identifying challenges and opportunities in process and highlighting the same to seniors
- Superior mediation skills
- Good computer skills in MS-Excel, MS-Word, MS-Power Point, etc
- Sound judgment and strong decision making skills with an eye for detail
- Ability to work in teams and motivate teams
19
Compliance Officer Regulatory Inquiries Resume Examples & Samples
- Receive regulatory inquiries and coordinate the collection of requested information to provide a response by required due date. This requires interaction with the front office, technology, legal and operations
- Perform daily review of the Normal Course Issuer Bid (NCIB) report and compile monthly list of NCIB Expiries
- Receive, collate, and track Intermarket Surveillance Group (ISG) requests
- Receive, collate, review and submit reports to IIROC and Bourse de Montreal
- Track regulatory inquiries and Gatekeeper reports
- Perform semi-Annual filing of notices of third party vendors that provide risk management controls
- Conduct ad hoc trading reviews as required
- Assist with the overall program for monitoring and testing and surveillance activities as part of the Quarterly Trade Desk Review Report
- Prepare and collate meeting materials for the Investment Review Committee (IRC) of the closed end funds administered by BMO Capital Markets
- Perform daily review and adjudication of SmartsBroker alerts
- Provide backup to other members of the team as required
- Analytical skills and good judgement are extremely important
- Must have strong computer and technology skills and familiarity with industry software and programs
20
Regulatory Liaison Officer Resume Examples & Samples
- Liaison with EPCC contractors in security related matters to ensure they provide appropriate security services in their accommodation camps and work places in RAPID Project site
- Liaison with relevant government authorities/ agencies to accommodate problem solving and coordination of security issues in EPCC companies in RAPID Project site
- Assist and advise EPCC contractors’ in security matters such as conducting investigations/ inquiries/ fact gathering on minor crimes/ security related disciplinary cases in their accommodation camps and work places
- Review all EPCC contractors’ security status and standards to improve their performance and efficiency in providing security management services
21
Centralized Legal & Regulatory Servie Team Resolution Officer Resume Examples & Samples
- Graduate/Post Graduate in any Stream, would prefer a candidate with experience in handling customer queries
- Effective coordination required across multiple internal units
- Able to handle all documentation/trackers independently
- Enjoy thinking out of the box
- Ability to prioritize and effectively delegate
22
Regulatory Report Production Officer Resume Examples & Samples
- Assist manger to monitor and validate the regulatory reports to reach the reporting requirements in term of data quality and timeline
- 3 years relevant experience at least, preferably in loan reporting area and good understanding of commercial banking product knowledge
- Good working knowledge of Accounting or Finance
- Excellent interpersonal skills with positive attitude
- Good team leadership skill
- Good English Speaking and Writing Skills
- Strong knowledge in Excel is must
23
Regulatory & Pricing Officer Resume Examples & Samples
- Preparing the relate documents for registering the all products and materials, premix, feed additive, or other related products for both importing and domestic products
- Support necessary document and all actions in order to make sure that our sold products will be registered completely in oversea customer side
- Coordinate with the related parties such as QA, QC, Technology team, Supplier, and etc. for supporting things and actions to ensure that the registering are done completely
- Submiting, amendment, and dealing with government in order to make sure that the license have been approved
- Communicate to the related parties for the result of registeration
- Renew all kind of the license within the timeline and expiration
- Update all related feed informations both of internal and external into global yammer
- Coordinating with related parties and calculate all the pricing data as well as updating to the systems
- Updating inter-intra products price (run CPPR) as well as master pricing report, custom feed, and other related report
- Do the Tracking report for the movement of pricing of all products
- Communicating the update pricing information to the related parties
- Support the Customer Satisfaction survey (RVP) and reporting as the Supervision of Direct Supervisor
- Others assignments from Supervisor
- Bachelor’s degree in Business Administration, Science or other related field
- At least 1 Year experience Regulatory
- Computer Literate (MS OFFICE) with some experience in a complex data / numbering task
- Good command in writing reading and speaking English
- Accuracy, Service Mind, Well Communicate
- Knowing & Understanding LiveStock & Fishery Law (พรบ. ควบคุมคุณภาพอาหารสัตว์) will be advantage
24
Alternate Regulatory Officer Resume Examples & Samples
- Ensure compliance with guidelines and internal policies related to wholesaling and distribution of products
- Read, understand and maintain Standard Operating Procedures (SOPs)
- Assist in the investigation and report all suspicious narcotic transactions and losses
- Support McKesson’s temperature monitoring system (viewLinc)
- Identify compliance risks and recommend solutions
- When applicable contact manufacturers to obtain assurance of product integrity. Document all communications and results
- Support the appropriate use of thermal, validated equipment, ensure deviations are closed in a timeline manner, manage and acknowledge temperature monitoring system according to established processes, investigate and document excursions discovered during protocol execution and regular operations
- Ensure that documentation related to the Quality System is accurate, concise and clear including but not limited to Change Controls, Deviations and Customer Complaints
25
Project Management Officer Regulatory Design Board Resume Examples & Samples
- Provide management support within Regulatory Risk team, with specific focus on Regulatory design board (Reg DB) – as directed by the Reg DB Management Lead
- Own & manage the administrative setup and maintain central data repositories (e.g. SharePoint)
- Plan and execute the operational aspects of the Reg DB (e.g. internal and external meetings with senior stakeholders, proactive planning of next steps)
- Track and monitor actions from the Reg DB and Core team meetings and managing results thru proactive coordination across all key stakeholders
- Identifying pragmatic improvement opportunities and proactive escalation of issues
- Drive management reporting tasks and conduct ad-hoc analysis tasks on a need to know basis
26
Compliance Officer, Regulatory Office Resume Examples & Samples
- Assist in handling SFC annual declarations as well as other notifications to the SFC
- Participate in the annual fit and proper declaration process for licensed staff
- Perform regular reviews on the list of licensed staff and staff pending registration to ensure that the particulars of licensed staff in the registers of regulators are accurate and complete and are consistent with our records
- Handle ad hoc projects and other tasks as assigned
27
Compliance Officer, Regulatory Office Resume Examples & Samples
- Perform regular reviews on the list of licensed staff and staff pending registration
- Coordinate and conduct the call-tree exercise for Compliance and involve in other BCP exercises where appropriate
- Act as the main point of contact with external auditors for Compliance and collate information in response to the requests of or the inquiries made by external auditors
28
Regional Regulatory Review Compliance Officer Resume Examples & Samples
- Assist management in conducting reviews on business areas to identify areas for improvements
- Assist management in conducting reviews on cases that are being investigated or reviewed by regulators
- Identifies and controls legal, compliance and reputational risks
- Liaises with regulatory authorities in Hong Kong
- Assist in the co-ordination for regulatory reviews and investigations in Hong Kong, and also regionally
- Submit an annual Compliance review plan based on the findings of Compliance risk assessments, trade surveillance and internal audit reports as well as external investigations/inspections
- Conduct Compliance reviews in those activities/entities identified as being exposed to potential regulatory sanction due to multiple regulatory breaches or displaying significant systems and control deficiencies
- Co-ordinate closely with Capital Markets and Country Compliance teams within the APAC region
- Supports the Regional Head of Capital Markets Compliance, Regional Head of Compliance and Control, and Global Head of GECD & Corporate Finance, Global Head of Compliance and Control as required, including timely reporting of issues and activities and escalation to Compliance management where required
- 7-10 years’ experience in a senior Compliance role, preferably with investigation and review experience. Experience with Law Enforcement agents or regulatory bodies a plus
- Extensive knowledge of applicable exchange rules and regulations in at least Hong Kong and Singapore with respect to securities activities
- Experience in co-ordination role is essential
- Demonstrate strong interpersonal skills with the ability to communicate and consult at all levels, especially with senior management
- Be flexible and adopt a hands-on approach
- Excellent written and spoken English, Cantonese and Mandarin is essential
29
Regulatory Liason Officer Resume Examples & Samples
- Global Banking and Investor Solutions (GBIS). GBIS offers solutions for its clients by capitalizing on its worldwide expertise in corporate & investment banking, private banking, and asset management.For the Americas region, GBIS is headquartered in New York with a significant presence in Chicago.In the Americas, GBIS is primarily focused oncorporate & investment banking
- MARK - Global Markets (equities, fixed income, currencies, commodities, prime brokerage)
- LYXOR – Asset managementand advisory solutions, in all asset classes, to investors
- CORI & GLFI - Global Finance offer global advisory and coverage to clients, and structured finance and capital raising solutions
- International Banking and Financing Services (IBFS). IBFS offers services to its clients in the US (New York), Brazil (Sao Paulo) and Mexico (Mexico City) including equipment and vehicle finance
- Global Transaction & Payment Services (GTPS). GTPS provides correspondent banking and cash management services in the US and Trade Finance services in Brazil
- Assist in the handling of regulatory audits of the Internal Audit Department
- Interface with regulators on audits initiatives
- Develop and deliver trainings to Internal Audit team members on the regulatory compliance topics and new regulations
- Participate in the Quality Assurance program concerning regulatory compliance topics
- Provide business process improvement recommendations to the Internal Audit management and staff
- Develop and maintain positive and effective partnerships with colleagues and internal customers
- Develop plans of annual mandatory regulatory missions to be executed by auditors
- Self-starter, able to work with others, and build smooth working relationships
- Strong knowledge of regulations and Compliance requirements
- Ability to quickly assimilate technical information regarding the business
- Self-motivated and ability to effectively multi-task, and “think out of the box”
- Effective decision-making abilities
- 4 years Compliance or relevant department experience in the Capital Markets field
30
Regulatory Senior Officer Bank Network Management Resume Examples & Samples
- Annual Written Due Diligence for Bank Sub-custodians whether 3rd Party or Citi Affiliates
- Annual Due Diligence on Client Money/Cash Banks
- Oversight of No Lien letters for Bank Sub-custodians
- Oversight of Trust Letters for Client Money accounts (acknowledgement letter)
- Verification that accounts are correctly named at the Sub Custodian to reflect the Client status
- Ensuring sub-custody agreements and other legal documents in place are fit for purpose
- Ensuring a robust control environment, adhering to the firms policy and Citi’s Management Control Awareness (MCA) framework
- Completing Due Diligence questionnaires and RFP’s, for the Network Management process for Depositaries who perfom Due Diligence on CGM’s Prime Business
- Highly motivated, able to work independently, self-starter, able to prioritize
- Experience within large scale, cross-business projects
- Project management skills and ability to multi-task
- Experience with facilitating industry change initiatives
- Experience working within a large global matrix organization structure
- Advanced Excel and PowerPoint skills
- Developed PC skills are required
- Research, analysis, and inquisitive skills
31
Regulatory Officer Resume Examples & Samples
- Plan and execute regulatory compliance in the facility, namely by providing expertise and guidance in interpreting governmental regulations, guidelines and internal policies, related to storage and distribution of products
- Responsible to ensure compliance of the Quality System, including but not limited to Change Controls, Deviations, Recalls, Returns and Customer Complaints. Ensures and enforces Good Documentation Practices on all applicable documents relating to GMPs
- Communicate and summarize compliance performance and results of the Specialized Distribution site to the Warehouse Manager and Quality & Compliance Manager, e.g. highlight self-inspection issues to the Warehouse Manager
- Responsible for training of Specialized Distribution site management, warehouse employees, customer service, and returns personnel (where applicable) on SOPs and GMP related topics. Responsibilities include the planning, execution and maintenance of employee training records as well as testing to ensure training effectiveness
- Support the self- inspection program, recommend follow up actions with emphasis on areas identified as non-compliant
- Active participation in Health Canada and manufacturer audits. Prepare audit responses in a timely manner. Ensure observations are addressed and closed within reasonable timeframe and followed up if not received within that timeframe
- Write or review/approve and actively participate in maintenance of SOPs. Maintain documents current and available for manufacturers/employees in a controlled manner
- Responsible for the proper and adequate implementation of SOPs
- Ensure McKesson’s Specialized Distribution facility temperature monitoring system is functional at all times and that the Temperature Profiling system, both the facility Temperature Monitoring System and the Temperature Logger Systems, are utilized according to SOPs
- Ensure thermal equipment containing drug products are qualified or validated and any CAPA’s are closed based on the results of the qualification / validation. Ensure accurate and timely warehouse temperature mapping is performed. Review and approve protocols
- Oversee sampling of finished goods for testing and retention purposes, when applicable
- Participate in client and /or project meetings when RO input is required
- Assist with the preparation, inventory and discrepancy investigation for Narcotics products
- Report regulatory issues and concerns with the potential to impact product quality to management
- Assist with the preparation and completion of Regulatory documentation such as deviations reports, change controls, trending and Route Temperature profiles
- Maintain control of narcotic signatures as set out by Health Canada
- Manage licence and signing authority applications with Health Canada
- Support Site Security Officer in managing narcotic cage/vault security and access
- Assist with operational narcotic activities as required
- B. Sc. in a scientific field mandatory
- Possess pertinent experience or academia or a combination of both, pertaining to quality assurance and control relating to the pharmaceutical environment
- Advanced knowledge of Health Canada’s GMP Regulations
- Knowledge of Narcotic Control Regulations, Precursor Control Regulations, Medical Device Regulations, is an asset
- Five years’ experience in a similar position
- Strong knowledge of Outlook, Word, Excel and PowerPoint
- Experience with Quality Management System software, an asset
- Bilingual (spoken/written English and French)
- Strong attention to detail, dynamic and well-organized
- Self-motivated, proactive and capable of working independently and as part of a team
- Good interpersonal skills
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Quality & Regulatory Officer Resume Examples & Samples
- Master the regulatory landscape and translate this to a set of requirements for practically managing the RS business
- Q&R lead for introduction and release of new products (defined by OEM) within RS and in collaboration with other disciplines within RS and the BiU's/OEM's
- Quality Engineering and Quality Assurance for processes within RS
- Preparation, execution reporting of Internal Audits
- Release for delivery to customers for medical devices after refurbishment, incl. DHR approval
- Investigator for CAPA’s and internal audit findings, Q&R facilitator to CAPA owners
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Regulatory Monitoring Officer Resume Examples & Samples
- Solid background inn an operational risk, compliance monitoring or internal audit environment
- Preferably knowledge of life & pensions, general insurance or financial services outsourcing markets, products and procedures
- Preferably knowledge of relevant financial services regulations and legislation, risk management frameworks and risk reporting
- Education to degree level desirable
- PC skills including Word, Excel, and PowerPoint
- Strong communication (including report writing), challenging, investigative, influencing and presentational skills, proven ability in building relationships at a senior level
34
Compliance Officer, Regulatory Office Resume Examples & Samples
- Report to Head of Regulatory Office China and serve as general compliance officer in providing compliance oversight and support covering all CIB business activities
- Provide compliance advisories to business line’s daily inquiries
- Assist in develop/update local compliance and/or operating procedures for business line to adapt Group and regulatory requirements
- Provide compliance support and guidance to the business, in particular to actively participate in and support the new business growth and ensure associated compliance risks are properly identified and addressed
- Work with businesses to ensure that applicable regulatory changes/updates are implemented timely and efficiently; track and oversee non-standard regulatory requests
- Monitor business lines’ compliance activities by conducting risk-based compliance control testing
- Developing and delivering Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements, and new regulations
- Coordinate with other compliance officers to complete regulatory reporting, survey and self-inspection
35
Regulatory Assurance Officer Resume Examples & Samples
- Conducting risk based monitoring/assurance reviews, both routine and thematic, to assess the extent to which line management complies with regulatory procedural requirements and relevant internal control standards put in place to ensure the Company meets external legal and regulatory requirements
- Assist and drive completion of the Compliance Assurance plan
- Assist in developing and implementing an effective compliance culture throughout the Company
- Support and lead regular reviews of the business units, key business processes and the activities of the Company to ensure continued adherence to and effective implementation of policies, procedures and regulations
- Carry out monitoring (including field based reviews as appropriate) of the Company’s Trading Partners ensuring they meet, and continue to meet, FCA expectations and obligations under TOBAs and Binding Authorities as may be applicable
- Liaise with other members of the Compliance team to ensure consistency and effective dissemination of best practice across the Company
- Ensure prompt escalation of significant compliance issues to the Compliance Monitoring Manager
- Contribute to the development of regulatory procedures by identifying areas of weakness and making suggestions for improvement
- Produce accurate monitoring reports and ensure any issues identified from monitoring activities are addressed in a timely manner. This includes maintaining appropriate records of all monitoring activity
- Support the maintenance and updates to the Monitoring Plan and reporting against objectives and SLA’s
- Keep up to date with industry knowledge to ensure appropriate competency levels are maintained
- Be familiar with the business and current regulatory and compliance initiatives in a way that is likely to meet the Financial Conduct Authority compliance requirements applying to a C2 firm
- Carry out duties following internal policies and procedures in accordance with applicable laws, rules, regulations, good governance and Gallagher’s shared values, in particular, putting clients at the heart of our business
- General Insurance experience
- Knowledge of business processes & procedures and the ability to offer solutions to the Company where issues exist
- Good IT skills and a willingness to learn about new systems
- Basic knowledge and understanding of Compliance
- Effective communication skills with colleagues
- Empathetic
- Eligibility to work in the UK
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Drug Regulatory Officer Resume Examples & Samples
- Prepare and manage regulatory submissions to local Health Authority
- Create and generate regulatory information for internal and external customers
- Compiling and updating material for sales force and employee training in the regulatory product status
- Monitoring and implementation of national and European law regarding regulatory aspects
- Support of maintenance of GMP (Good manufacturing practice) conformity of Actelion Pharmaceuticals Deutschland GmbH
- Active development of networking with local authorities and coordination HQ-contacts to local authorities
- Deputy of the function”Stufenplanbeauftragter” (graduated plan officer) acc. to § 63a AMG and of the Affilate Safety Officer
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Regulatory Assurance Officer Resume Examples & Samples
- Conducting risk based monitoring reviews, both routine and thematic, to assess the extent to which line management complies with regulatory procedural requirements and relevant internal control standards put in place to ensure the Company meets external legal and regulatory requirements
- Assisting and drive completion of the Compliance Monitoring plan
- Must hold or be willing to work towards Cert CII
- A thorough understanding of the FCA Handbook and Gallagher’s professional standards
- Detailed technical knowledge of the UK regulatory framework and markets as it applies to insurance; brokers, with a particular focus on retail conduct risk
- An understanding of the wider impact of regulation on consumers and businesses
- General Insurance experience desirable
- Commercial awareness and the ability to take a pragmatic approach in understanding and applying regulatory requirements, including the understanding of confidential issues and the use of discretion
- An understanding of the compliance risks facing insurance brokers and a contemporary
- Experience of the UK regulatory framework and markets as it applies to insurance brokers, with a particular focus on retail conduct risk
- Being able to learn and understand new subjects quickly, and deliver high quality output within tight deadlines
- Able to meet core skills as documented within the Compliance team skills matrix as appropriate to the role
- Strong organisational skills and ability to enjoy working well under pressure
- Persuasive and credible influencing and negotiating skills
- Advocates client service as a core discipline
- Takes a hands-on practical problem-solving approach to achieving business outcomes and to ensuring that the right business culture and behaviours are being pursued
- Ability to deal constructively with uncertainty and ambiguity
- Exceptional verbal and written communication skills and good active listening skills, including the ability to
38
Regulatory Site Officer Resume Examples & Samples
- Review and evaluate the regulatory impact of proposed changes at the site
- Support New Product Development Projects and continuous improvement initiatives for existing products/processes
- Provide guidance to project teams on the technical data package needed to support filings for changes to product operations (for commercial and clinical trial use) and product transfers to and from site
- Compilation of information for use in global filings
- Ensure appropriate communication of RA variation approvals, indicating when approved changes with RA impact can be implemented
- Compilation and maintenance of Product Specification Files
- Maintenance of Site Master Files/Plant Master File
- Maintain IMB manufacturing licenses and provide RA guidance into major deviations as appropriate
- Preparation of Periodic Product Reviews (Annual Product Reviews) and support Annual Report preparation as required
- Continuous Improvement of Regulatory Affairs processes and procedures
- Review and approval of site documentation ensuring compliance with regulatory commitments and registered product details (e.g. batch records, material specifications, protocols and reports (e.g. PQs and PVs), stability documentation, etc
- Review and approval of artwork
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Compliance Officer, Regulatory Engagement Resume Examples & Samples
- Support the Manager and the Bank meet the expectations of regulators in regard to periodic and ad hoc information requests
- Be able to engage with the representatives of regulators in a professional and competent manner
- Work closely with relevant colleagues to assist the visits of foreign regulators, in particular of France and the United States
- Ensure that appropriate records are generated and maintained, and that appropriate management Information is produced and disseminated
- Must have good knowledge of UK regulatory framework and regulators
- Must have basic market knowledge
- Must be able to think tactically and able to deliver plans and manage execution of the plan
- Must have excellent written and verbal skills
- Good stakeholder management skills, be assertive and confident
- Previous banking experience in Compliance, Risk, Finance, Legal or Front office desirable
- Experience as a supervisor at one of the UK regulators highly desirable
- Must have a undergraduate degree at 2-1 or above
- French language skills desirable but not required
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Senior Regulatory Relations Officer Resume Examples & Samples
- Collaborates with department manager to build strong relationships with the Bank's regulators; ensuring the faciliation of regulator's understanding of Bank's business strategy and compliance issues
- Recommends and establishes efficiencies in coordinating with regulators and in the way information is provided to regulators and used for internal needs (e.g., regulatory calendar, summary / themes of regulatory requests, what sending to regulators, who interacting with regulators, what driving regulatory agenda and priorities)
- Ensures that that the Regulatory Relations Officer is kept apprised of regulatory requests including both status and resolution
- Good knowledge of banking rules and regulations (e.g., FDIC and Federal Reserve). Demonstrated ability to work independently and be a self starter in a fast-paced environment. Collaborative and good at building and leveraging relationships. Strong communication and presentation skills. Superior project management skills and the ability to coordinate compliance initiatives as required. Superior skills related to tracking and inventorying numerous documents
41
Regulatory Officer / Alternate Quality Person Resume Examples & Samples
- Plan and execute regulatory compliance in the DC, namely by providing expertise and guidance in interpreting governmental regulations, guidelines and internal policies, related to wholesaling and distribution of products
- Communicate and summarize compliance performance and results of the DC to the DCM and Quality & Compliance Manager, e.g. highlight self-inspection issues to the DCM or DC board regularly
- Responsible for training of DC management, warehouse employees, customer service, and returns personnel (where applicable) on SOPs and GMP related topics. Responsibilities include the planning, execution and maintenance of employee training records as well as testing to ensure training effectiveness
- Manage the local DC GMP self-inspection program. Initiate and follow up on corrective actions to be taken in areas identified as non-compliant and develop preventive actions in conjunction with the Distribution Center Manager
- Active participation in Health Canada and vendor audits. Prepare audit responses in a timely manner. Ensure observations are addressed and closed within reasonable timeframe and followed up if not received within that timeframe
- Actively participate in writing, review of SOPs. Maintain documents current and available for employees in a controlled manner and responsible for the proper and adequate implementation of SOPs
- Ensure receiving, storage, picking, packing (temperature, stock rotation, sanitation, cold chain, freight inbound and outbound) are conducted in accordance to GMP guidelines and regulations and performed in accordance with the current SOPs
- Ensure McKesson’s temperature monitoring system is functional at all times and that the Temperature Profiling system, both the DC Temperature Monitoring System and the Temperature Logger Systems, are utilized according to SOPs
- When applicable, contact manufacturers to obtain guidance on product integrity when a deviation occurs due to temperature or any instance where the quality and safety of the products may be comprised. Ensures that all communications, results and final outcome are documented appropriately
- Assist with the authorization, processing and managing all returned narcotic product
- Supervise the ARO work, do the performance evaluation and prepare development plan when applicable
42
Control Officer Regulatory Program Implementation Resume Examples & Samples
- Assess and implement risk initiatives/projects mandated by the firm and Regulators, including establishing scope, resource needs, governance structure and stakeholder expectation management
- Identify and assess operational risks and controls within acceptable levels to the scale and nature of the area’s operations and within regulatory and internal standards
- Collaborate with the Regional Business/Function Management to establish an “end to end” ownership of operational risks, controls, and processes
- Monitor and test the ongoing effectiveness of key and non-key controls to gain assurance that these are operating in line with risk appetite and any regulatory and internal requirements
- Support the development and execution of plans to achieve the Operational Risk Management goals of the Chief Control Officer, including a resource plan with appropriate level and experience
- Build relationships and interact with process and control owners to maintain current knowledge of the operations and business, organizational and/or technological changes impacting operational risk and internal controls
- Decision-Making Responsibility
- Experience in an Operational or Internal Control function highly desirable
- Well developed leadership and people management skills, able to drive change and provide positive influence to achieve organization goals
- Experience with testing of controls, such as past audit experience, is a plus
43
EU Regulatory Officer Resume Examples & Samples
- Promotes the activities aimed at evaluation of EU policy objectives and expected regulatory changes in priority areas for MOL, particularly in the area of international and EU environmental policies. Contributes to the drafting of the position papers
- Contributes to commenting of EU draft regulations and professional association’s materials and to the development of consolidated corporate positions
- Coordinates the preparation of background materials for these actions, is responsible for producing professional background materials in the field of environmental regulations
- Supports activities aimed at informing the subsidiaries about regulatory issues and the standpoint of MOL Group, supports the development of national action plans, liaise with experts from the subsidiaries
- Supports the activity in European professional organizations, and maintains contact with experts and representatives working in professional associations
- Supports the operation of the Corporate Affairs organisation, organises meetings and prepares background papers
- Comprehensive knowledge of the EU and Hungarian legislation and policies, general understanding of the EU regulations
- Good communication skills in an international environment
- Good knowledge of MS Office and particular SAP modules
- English and one another European language
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Gto-divisional Control & Regulatory Officer Resume Examples & Samples
- Train and Promote control culture: Foster control capability and accountability across line Businesses
- Participate in control design (as required)
- Implement control policies & standards
- Full accountability for product onshore, nearshore and offshore controls
- Perform Risk assessments
- Minimum 3 years experience in Audit field and/or Regulatory knowledge with Good product knowledge on Client onboarding (Main)
- Minimum graduate in any discipline (preferably from business/ accountancy background
- CA/CPA qualifications a big plus
- Prior experience in process reengineering efforts highly desirable
- Product &/or Client onboarding Operational knowledge
- Audit and/or Client onboarding Operational background would be preferred
- Able to navigate around the DB infrastructure and organisation
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Regulatory & Controls Officer Resume Examples & Samples
- Keep abreast of key regulatory developments that impact InvS and work with product SMEs to determine what is required in order to comply with Regulatory requirements
- For key initiatives discuss and agree requirements, delivery responsibilities, implementation effort, resourcing, funding and governance with business and service partners (e.g. Mkt Adv, DCO, Product Management, GTO)
- Identify, coordinate and lead project resources and all aspects of front-to-back implementation to ensure that projects meet business / regulatory requirements and timelines
- Perform readiness assessments / project health-checks for in-flight Regulatory projects to identify key execution risks
- Provide ad hoc regional support on Regulatory and Controls topics as and when required
- Put in place monitoring and measuring processes to evaluate the business against a predefined controls framework
- Work with business representatives and service providers across the InvS value chain to prevent operational issues and support major incident identification, escalation and resolution
- Good banking experience and a strong knowledge of banking fundamentals front-to-back
- Proven project management, leadership and influencing skills
- The ability to work to fixed deadlines and manage multiple deliveries concurrently
- A good understanding of some of the key regulations and themes impacting global transaction banking or securities services
- Experience of setting-up and shaping projects and associated governance structure
- Experience of working in a controls-based environment and implementing / measuring risks and / or controls
- Strong attention to detail, a willingness to challenge the status quo, a structured and measured approach
- Strong analytical skills, excellent writing and presentation skills
- A professional attitude ready to take on further tasks on a regional level or those with a multi-product component
- The confidence and organizational awareness to work as a single representative in a global team and act as a good ambassador to the team
- Able to work independently with minimum supervision, as well as part of a global team
- Credible, self-motivated, driven, decisive, articulate
- An effective and concise communicator, both verbal and written
- Able to interact with people from different business / disciplines / seniorities
- Able to work in a challenging and rapidly changing business environment
- A team player with a proactive, innovative mindset
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Senior Officer Electronic Regulatory Intelligence Resume Examples & Samples
- Monitor, select and capture relevant electronic regulations to guide compliance assessment and advise on new regulatory developments and trends to be considered for development of new products
- Establish electronic regulatory requirements for each market after ensuring the interpretation alignment with legal department
- Contribute to the development and maintenance of a Product Stewardship function in the regions to support main activities related to electronic regulatory compliance
47
Senior Officer Chemical Regulatory Intelligence Resume Examples & Samples
- Monitor, select and capture relevant chemical regulations to guide chemical compliance assessment and advise on regulatory developments and changes that might have an impact on PMI business
- Establish chemical regulatory requirements for each market after ensuring the interpretation alignment with legal department
- Contribute to the development and maintenance of a Product Stewardship function in the regions to support main activities related to chemical regulatory compliance
48
Regulatory Assurance Officer Resume Examples & Samples
- Conducting risk, financial crime and conflicts based monitoring reviews, both routine and thematic, to assess the extent to which line management complies with regulatory procedural requirements and relevant internal control standards put in place to ensure the Company meets external legal and regulatory requirements
- Assisting and drive completion of the Regulatory Assurance plan
- Ensure prompt escalation of significant compliance issues to the Regulatory Assurance Manager and Head of Regulatory Assurance
- Produce accurate monitoring/assurance reports and ensure any issues identified from assurance activities are addressed in a timely manner. This includes maintaining appropriate records of all assurance activity
- Support the maintenance and updates to the Assurance Plan and reporting against objectives and SLA’s
- Detailed technical knowledge of the UK regulatory framework and markets as it applies to insurance brokers, wholesale and underwriting
- Experience of wholesale/London Markets insurance and/or underwriting (MGA)
- Reinsurance experience would be desirable
- Experience of the UK regulatory framework and insurance markets
49
Senior Regulatory Officer Resume Examples & Samples
- Supporting Mylan's mission to provide high quality access to healthcare by assisting senior leaders to obtain approval of new generic and brand products within one or more product types and to ensure lifecycle management of product within a given region
- Execute operational labeling activities required for all generic and brand products for multiple product types within a specified as directed by management, to ensure appropriate priorities/key goals identified by leadership are met on time, and maintain Compliance of regulatory based labelling: Summary of Product characteristics, Package leaflet and Prescribing Information, and maintain current knowledge of labeling regulations and guidance for one or more product types (within a specified region)
- Collaborate with regional regulatory/medical/clinical/Pharmacovigilance teams to provide labeling advice and support
- Collaborate with regulatory team to author and prepare submission documents, and collaborate with regulatory team to ensure all documentation is in compliance with eCTD (electronic common Technical Document) standards
- Perform data entry to ensure regional regulatory compliance for assigned products within regulatory databases and change management system
- Ensure prompt resolution of regulatory issues affecting the Irish Business
- Liaise with Mylan UK, European and Global groups on regulatory issues as relevant, and provide strategic regulatory input to support the Mylan Ireland Business
- Review of product information and promotional material prior to release
- Maintain awareness of current and new legislation/guidance and ensure that work is in compliance with requirements
- Life Science Degree or equivalent experience
- 3-5 years experience in a regulatory environment
- Knowledge of regulatory requirements for medicines in EU/Ireland
- Strong demonstrable capabilities in the use of software applications
- Must possess organization skills, time management skills and attention to detail
- Excellent team working and communication skills
- Ability to thrive in a changing environment and to re-prioritise workload to meet business needs
- To work with minimal supervision
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Regulatory Support Officer Resume Examples & Samples
- Provide support to Regulatory manager in preparing registration documents/submissions
- Support in new registration submissions
- Provide support in preparing documents for Label extensions / re-registrations of crop protection products
- Update regulatory records/files
- Bachelor’s degree in Science or Agriculture
- Basic knowledge on registration processes
- Good oral and communication skills (technical report writing and presentation)
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Corporate Governance & Regulatory Officer Resume Examples & Samples
- Providing strategic insights and making sure information is shared to CPB Leadership - and in some cases the bank board and Executive Committee (ExCo) on matters of interest to regulators
- Being a point of contact for global regulators and senior stakeholders
- Contributing to the Corporate Governance & Regulatory Affair strategy
- Providing high level professional support and advice to CPB Leadership, including board and committee papers and other internal briefings
- Supporting, advising and challenging on bank strategy, key programmes and regulatory matters
