Regulatory Compliance Analyst Job Description
Regulatory compliance analyst
provides technical regulatory and chemical food safety knowledge to assist Business Unit in assessing health risk and regulatory compliance for food and feed products.Review and approve product formulations, ingredient statements, nutritional information and packaging artwork; providing design guidance for application, and ensuring compliance to all U.S.
Regulatory Compliance Analyst Duties & Responsibilities
To write an effective regulatory compliance analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory compliance analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Assist with establishing compliance policies and procedures in accordance with regulatory requirements and firm policy
Awareness and understanding of the regulatory framework in which the firm operates, and the regulatory requirements and expectations relevant to the role
Obtaining and reviewing data enabling the candidate to formalize the firm’s response to the enquiry
Liaising closely with other Compliance areas and Legal, other areas of the firm, to ensure completeness of data for a response, to seek specialist input and/or to highlight potentially suspicious activity (for example, to the Anti Money Laundering team)
The ability to proactively identify and analyse problems and propose viable solutions
Have good organisation skills
Project management of compliance onboarding of prospective Fund subadvisers
Review of subadviser compliance policies and procedures
Review of supplemental compliance documents provided by subadvisers during onboarding
Documenting compliance onboarding process for each subadviser
Regulatory Compliance Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regulatory Compliance Analyst
List any licenses or certifications required by the position: JIFSAN, CRCM, CRISC, CISSP, CISM, CISA, NISM, NCFM, ISO, ASQ
Education for Regulatory Compliance Analyst
Typically a job would require a certain level of education.
Employers hiring for the regulatory compliance analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Business, Finance, Education, Accounting, Business/Administration, Law, Science, Technical, Engineering, Computer Science
Skills for Regulatory Compliance Analyst
Desired skills for regulatory compliance analyst include:
European Medical Device Directive
U.S. Food and Drug Administration
Ingredient statements
Religious certification
CAS
Excel
Regulatory requirements
Assembly and product specifications
Broker-Dealer
Company
Desired experience for regulatory compliance analyst includes:
Background with TRACE reporting and best execution monitoring is a plus
Candidate must have excellent organizational, project management, strong analytical, negotiating and inter-personal skills
Candidate must have ability to identify problems and be solutions-driven, confident and highly motivated
At least 1 year of audit or compliance experience (SOX experience is a plus)
Experience of working in the investment management industry and of investment products prefered
Work well with members of other areas of Legal and Compliance and the front office
Regulatory Compliance Analyst Examples
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Regulatory Compliance Analyst Job Description
Job Description Example
Our innovative and growing company is hiring for a regulatory compliance analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for regulatory compliance analyst
- Conduct detailed review of business or compliance owned material to determine its compliance with Bank and regulatory requirements, including but not limited to policies, procedures, job aids, controls, process flows
- Identify conflicts and advise the Business on conflict resolution
- Manage Third Party Experience
- Payment of valid claims
- Technical Monitoring
- Adhere to the structure to the project and enforces rigorous project governance
- Working with Technology, Operations (Client onboarding) and other areas within Compliance, or the business, to enhance the speed and ease of obtaining information to complete your mission
- Working with other Compliance areas and the business to produce responses to information requests ahead of regulatory audits/reviews/reports
- Analyse and co-ordinate cross work stream requirements/initiatives
- Provide oversight of teams responsible for ongoing daily processes designed to monitor and assist our professionals’ compliance with our reporting and independence policies
Qualifications for regulatory compliance analyst
- Strong knowledge of SEC regulatory environment, have direct regulatory experience or sales channel compliance experience
- Working knowledge of FINRA, SEC, OCC and MSRB rules
- Candidate must be a team player who can produce work products with impeccable integrity and attention to detail
- Knowledge of modeling language such as flow charts, swim-lane, use cases, process flow diagrams
- The role holder is expected to work openly and collaboratively with their line management and team colleagues
- Maintaining and updating the monitoring plans
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Regulatory Compliance Analyst Job Description
Job Description Example
Our innovative and growing company is looking for a regulatory compliance analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for regulatory compliance analyst
- Partner directly with other company departments and with all levels of management on regulatory and FERC compliance matters, including key developments in federal regulatory policies that directly or indirectly impact the Regulated Entities
- Assist in the presentation of findings and help make recommendations to functional management, directors, officers and their employees
- Assist in the development of tools and templates for LOBs to assist in their compliance program activities
- Assist various compliance initiatives, as appropriate
- Troubleshoot and resolve technical issues with any required regulatory responses
- Respond to rate cases by providing residential collections related information and prepare responses to data requests
- Obtain and perform all required elements of due diligence
- Assists with determining which systems and/or business processes will be impacted and require revision
- Identify and measure compliance-related risks
- Analyze data to identify trends and uncover gaps, issues, compliance and regulatory risks
Qualifications for regulatory compliance analyst
- 3-6 years of relevant experience, with a minimum of 2 years in asset management, paralegal and/or other financial industry compliance experience
- Strong analytical skills, exercises good judgment, and ability to assess risk and suggest control enhancements
- Attention to detail and strong organizational and project management skills
- Broad knowledge of banking with a good understanding of banking regulatory frame work, compliance will be an advantage
- Focused, organised, results-oriented and works independently to strict timeframes
- Graduate, preferably with a Legal degree or Finance related
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Regulatory Compliance Analyst Job Description
Job Description Example
Our company is growing rapidly and is hiring for a regulatory compliance analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory compliance analyst
- Runs monthly compliance reporting for the jurisdiction
- Coordinate with other departments to collect, consolidate and prepare information for rate case and other rate related filings
- Prepare and file various tariff and SOC, including fuel tracker, filings and various reports required by the tariffs of the Regulated Entities
- Prepare internal and external regulatory materials, including filings, testimony, briefs and position papers
- Monitor activity at the FERC, including other pipeline proceedings, to identify any decisions or issues which might affect current or future proceedings of the Regulated Entities
- Analyze and approve Authorizations for Expenditure (AFE) requests for the construction or abandonment of facilities and prepare annual Blanket Certificate reports to be filed with the FERC
- Prepare certificate applications
- Evaluate current processes/documentation and make recommendations to improve efficiency and accuracy
- Prepare formal presentations to others, both internal and external, on the status of regulatory issues and activities, including presentations for executive leadership
- You will operate across regulatory programme workstreams to help facilitate and deliver solutions that meet the quality criteria established by Compliance Management and the MiFID II Programme Team
Qualifications for regulatory compliance analyst
- Able to work in an international environment with various regulations (CFTC, FATCA, MIFID, UCITS, EMIR…)
- Experience in a banking/financial services-related environment in France is a pre-requisite
- Excellent presentation skills with small- to medium-sized groups
- Customer service attitude and dedication to quality
- Ability to effectively work both independently, and as part of a team, in a dynamic work environment
- Require BA/BS degree
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Regulatory Compliance Analyst Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of regulatory compliance analyst. 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 regulatory compliance analyst
- Ensure the company maintains its authority to do business in all jurisdictions in good standing
- Perform functions associated with USDA (especially APHIS) and CBP compliance, including acquiring and maintaining USDA Import Permits, coding products for correct USDA Permit, FDA Code, and Tariff and Schedule B numbers, and keeping necessary databases consistent with respect to these values
- Support creation and maintenance RJF regulatory change management program documentation, including dashboards and project status for active regulatory change initiatives
- Support efforts with RJF Compliance Technology leadership and IT Compliance Program to ensure consistent communication across regulatory implementation programs
- Under general direction from Manager of Regulatory Change Management, identify opportunities to build necessary regulatory and business expertise, effective communication skills, analytical and critical thinking capabilities
- As an Asset management consultant you will assist our client in achieving and maintaining audit readiness on its OM&S and PP&E financial statement line items
- Analysis of business process, identification of business improvement opportunities
- Define and document high level business improvement opportunities and associated requirements
- Provide detailed analysis of business opportunities, assessing and define the scope of the requirement and define detailed options to move forward
- In collaboration with the business owner and Programme Delivery Organisation develop a full business case with well-defined business benefits and full project implementation and BAU costs
Qualifications for regulatory compliance analyst
- Good skills of the French banking and financial regulation (AMF, ACPR, CNIL)
- 4-6+ years of relevant work experience in a large corporation or accounting firm
- Understanding of Independence requirements for professional auditing firms is a plus
- Related work experience or internship in the Financial Services industry
- Demonstrate ability to produce high quality work product
- Ability to recognize potential problems and escalate them to a supervisor, manager, and director
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Regulatory Compliance Analyst Job Description
Job Description Example
Our growing company is looking for a regulatory compliance analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for regulatory compliance analyst
- As assigned take ownership of Level 4 issues (liaise with appropriate teams to define solution)
- Input to the maintenance of the validation pack specific to the application (Validation Documentation Set - ensure the application’s validated state is maintained throughout life (URS, TAS, Tech Spec, Change Controls, Periodic Review)
- Input to Audit / Inspection Readiness (MHRA, FDA etc) specific to the application
- Engage with business and define continuous improvement opportunities
- Use intelligence gathered from complaint analysis to identify areas of regulatory concern and process improvement
- Assist with and/or lead process improvement project or initiatives to enhance the complaint response process
- Assist in other areas of Compliance as needed
- When assigned, assists in ensuring that changes in servicing regulatory compliance requirements are reflected in our application systems, submits process improvement requests in which automation would help prevent user errors
- Assist in global and regional strategic projects involving the Firm’s financial regulators (Federal Reserve Bank, OCC, FDIC, etc)
- Provide support in the documentation of Treasury’s capital, liquidity and funding policies and procedural documentation in line with sound business practice, or as explicitly required by regulation
Qualifications for regulatory compliance analyst
- Bachelor’s degree in engineering, life sciences or nursing (mechanical, electrical, industrial, software, biomedical, computer, biology, physics, chemistry, ) preferred
- Have solid understanding and knowledge in Regulatory Compliance and FATCA/AML business processes and market trends and solutions
- Ability to work independently, handle multiple tasks and prioritize activities in a team environment
- Able to quickly grasp complex issues, and effectively integrate, compile, and analyze complex information and data
- 3-5 years of accounting and consolidation experience
- Strong computer based skills to understand system functionality