Senior Manager, Regulatory Compliance Resume Samples

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N Bruen

Nicholaus

Bruen

220 Briana Loaf

San Francisco

+1 (555) 425 4079

220 Briana Loaf

San Francisco

Phone

p +1 (555) 425 4079

Experience Experience

Houston, TX

Senior Manager Regulatory Compliance

Houston, TX

Purdy-Frami

Houston, TX

Senior Manager Regulatory Compliance

Responsible for developing and operating an effective compliance testing/monitoring program for the business unit
Assists management in identifying and containing compliance risk, compliance monitoring and fostering a compliance culture
Establish and implement global standards and strategic policies which ensure HPWS’s exposure to current risks and emerging arising risk is managed
Develop and oversee the implementation of departmental training programs, including orientation
This will be achieved by ensuring all actions take account of the likelihood of operational risk occurring
Global Transaction Banking role can be found in Targeted Monitoring, Wire Transfer & Cash Letter Deposits
Participate in special compliance reviews, projects and training efforts

Phoenix, AZ

Senior Manager, Regulatory Compliance

Phoenix, AZ

Halvorson, McGlynn and Hahn

Phoenix, AZ

Senior Manager, Regulatory Compliance

Provides recurring updates to senior leadership on current audit assignments, projects in process and developing industry trends
Assist team members’ in the registration process and the preparation of related documents. Review team members’ work product for accuracy
In conjunction with executive management and regulatory affairs , develop strategic and tactical initiatives to deliver our future regulatory strategy
Provide mentoring to junior staff members related to personal and professional development topics
Provide coaching and counseling to team members, as necessary, under VP’s direction
Interfaces frequently with Senior Leadership to provide status on current state, progress on new initiatives and issues relating to regulatory compliance
Program Management

present

Houston, TX

Senior Manager Regulatory Compliance Issue Management

Houston, TX

Johnston LLC

present

Houston, TX

Senior Manager Regulatory Compliance Issue Management

present

Establish and manage Issue Management meeting logistics, material coordination and distribution
Hosting a monthly Issues Management Forum (“IM Forum”) to review issues with relevant RC management teams, which is intended to
The role will support the Regulatory Compliance in building a strong governance framework for issue management
Provide supervisory support for issues management concerns (items escalated by other teams, insufficient action / follow up, etc)
Representing RC in issues management initiatives (with Group, relevant Governance Committees, etc.)
Providing a holistic view of issues that have RC impact
Providing analysis of issues (root cause, trigger events, themes, etc.), and reporting as necessary

Education Education

Bachelor’s Degree in Business

Michigan State University

Bachelor’s Degree in Business

Skills Skills

Proficiency in the use of Microsoft Office products and high level of knowledge of computer functions
Strong knowledge of current PCI DSS
Good judgment— ability to determine which issues to escalate vs. to resolve independently, and provide suggestions for possible resolution
Comfortable with ambiguity and ability to cope with rapid change
Excellent communication skills and ability to effectively communicate messages to all levels of the organization
Expert knowledge of Bank, technology and risk standards (e.g., infrastructure, architecture, processes, applications)
Synthesizes complex or diverse information with extreme attention to detail and organization
Proven problem solving ability; sound judgment and decision making
Ability to make an impact, influence and achieve results with effective negotiation, problem-solving and communication skills
Working knowledge of analytical testing methodology and equipment necessary to support the business of bakery and salty snack products

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11 Senior Manager, Regulatory Compliance resume templates

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Senior Manager Regulatory Compliance Markets Regulatory Change Implementation Resume Examples & Samples

Provide expertise, guidance, oversight and governance in support of strategic initiatives and management of compliance risk, predominantly in relation to new regulatory requirements affecting the Markets business
Coordinates within the US with line of the business change management teams, Business Risk Control Managers (BRCMs) as well as line of business compliance officers (LCOs) to develops and implement appropriate compliance policies, programs, and controls for area of responsibility
To coordinate with Regulatory Affairs and Policy in support of these objectives
The work will be subject to the oversight and guidance of the Head of RC Markets Regulatory Change Implementation role
Maintains a compliant business support model in light of the challenging Markets regulatory environment
Demonstrates a thorough understanding of policies and procedures pertaining to the role. Aware of what constitutes an effective control environment
Preference of 10 years proven compliance and/or regulatory experience Bachelor’s degree

VP Senior Manager Regulatory Compliance Resume Examples & Samples

Serves as the central point of contact for US Compliance and oversees the accuracy of the information regarding the regulation in the risk assessment tools, while serving as the advocate for consistency of controls
Is knowledgeable about the results of any relevant BRCM reviews, CTAC testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Ensures remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks
Minimum of seven years proven and progressive financial services, compliance, and/or legal management experience, or equivalent

Senior Manager Regulatory Compliance Rbwm Amca Resume Examples & Samples

Demonstrate clear understanding of Compliance disciplines
Provide clear communications to the business
Minimum of 7 to 10 years proven and progressive financial services operations, compliance or legal experience or equivalent

Senior Manager Regulatory Compliance Rbwm Retail Banking Resume Examples & Samples

Provide highly professional, competent and skilled service to the RC function
The jobholder is required to think proactively use initiative in finding solutions to problems
Bachelor’s degree in business, law or related field or equivalent experience
Indepth knowledge of Regulatory Compliance requirements applicable to the business

Senior Manager Regulatory Compliance Rbwm Hifc Resume Examples & Samples

This position is only to be used in areas where the organizational structure has (Senior) Managers reporting into a level between the (Senior) Manager and Director
Positions designated as “general compliance” are typically focused on one or more major lines of businesses within the Company (i.e. Consumer Lending, Retail & Commercial Banking, Card Services, etc.). Many of the businesses entail a high degree of regulatory compliance and reputational risk, particularly with respect to risks arising out of non-compliance with extensive and complex regulations. Failure to comply with these regulations would have significant negative effects on relations with regulators, the reputation of the Company with the public and may result in regulatory impediments to mergers and acquisitions and significant regulatory sanctions, including regulatory fines of material amounts
The position directs compliance activities for the largest and/or most complex businesses in North America and is considered a senior compliance position within the business unit and/or function
The position routinely interacts with senior management for assigned businesses, division and country executives, other Group senior managers, regional and local compliance functions, peers throughout the organization and senior examination officials conducting regulatory examinations
This position is found in the following compliance function(s)
Ensures compliance for assigned line of business and directs the work of assigned Compliance staff. Makes high level compliance decisions affecting areas of responsibility
Minimum of ten years proven and progressive financial services operations, compliance and/or legal management experience or equivalent

Senior Manager Regulatory Compliance CMB Resume Examples & Samples

Corporate, Investment Banking and Markets (CIBM)
Directs the Compliance Risk Management program in Canada, working with business units, head office departments and Compliance colleagues to create, acquire, implement and maintain a compliance risk management and analysis methodology that leverages the Operational Risk database and processes
Synthesizes research, strategy, and other information to develop concise approaches to prevent, detect and investigate compliance issues and makes relevant recommendations to improve existing processes, systems and operations to mitigate risks
This position involves significant project management responsibilities including ownership of the Compliance Risk Management process and directing or assisting with other projects that are important to corporate-wide compliance initiatives
Minimum of eight years proven and progressive progressive financial services experience, particularly in assurance or risk management activities, or equivalent
Well-developed managerial, communications, analytical, organizational, and planning skills. Strong initiative and positive attitude required. Must be able to deliver services as part of the business Compliance team, across company lines, and to work independently in performing the job responsibilities

Senior Manager Regulatory Compliance Issue Management Resume Examples & Samples

The RC Issues Management Lead (“Lead”) is a new role that enhances issues management across Regulatory Compliance, and provides accountability for reviewing, escalating, tracking and reporting issues across HBSC. The role is intended to provide a sustainable solution for RC issues management. The primary responsibilities of the Lead include
Providing a holistic view of issues that have RC impact
Representing RC in issues management initiatives (with Group, relevant Governance Committees, etc.)
Supporting the LOB RC Officer Issues Teams, RC Officers and Regulation Coordinators with review, escalation, tracking and closure of issues
Reviewing issues for potential enterprise-wide impact
Providing analysis of issues (root cause, trigger events, themes, etc.), and reporting as necessary
Hosting a monthly Issues Management Forum (“IM Forum”) to review issues with relevant RC management teams, which is intended to
Identify RC issues with enterprise-wide impact
Determine trigger events
Review and discuss potential regulatory impact
Escalate non-adherence to the roles and responsibilities outlined in the RC IM Manual
Monitor the issues management process for sustainability
Review and escalate material issues, as necessary
Review third parties complaint reports for compliance matters
Review reporting, and work with MIS to ensure accurate and sustainable reporting
Provide supervisory support for issues management concerns (items escalated by other teams, insufficient action / follow up, etc)
Support RC LOB Issues Management Teams, as applicable
For RC-related issues, identify repeat issues, trends, analyze enterprise-wide impact and related root causes
Maintain a master inventory list of RC issues that are Potential or Violations of Law
The jobholder will need to work closely with the key stakeholders within Regulatory Compliance
This role will help ensure that HNAH’s RC program continually adapts to changing needs and requirements through continuous advancements, effective and coordinated project management, and by pro-actively sharing and leveraging best practices to maintain operational excellence
5 or more year’s relevant experience in Project Management, Exam Management or Risk Management, Testing or Audit
Exceptional knowledge and understanding of compliance and regulatory expecations
Proven ability to communicate effectively with all levels of management, auditors, and regulatory examiners

Senior Manager Regulatory Compliance Resume Examples & Samples

A minimum of five years progressive experience and functional competencies in Retail Banking, Retail Credit Risk and Regulatory Compliance
Regulatory requirements in Canada and our international operation are rapidly changing with evolving standards and leading practices. The incumbent is required to maintain a current awareness of regulatory and best practice developments and standards
Demonstrated experience in planning, designing, managing and implementation of regulatory projects
Professional manner with excellent organizational and communication skills, both verbal and written
A highly proactive attitude, and use of initiative and independent judgment
Works with minimum supervision

Senior Manager Regulatory Compliance Resume Examples & Samples

Ensure oversight of applicable money laundering (ML), terrorist financing (TF), sanctions and reputational risks
Broad scope of knowledge of local securities environment, including products, operations, systems and organization
Strong knowledge of securities, and in particular, mutual fund related activities, products, operations and systems and full understanding of all significant regulatory compliance requirements

Senior Manager Regulatory Compliance Assurance Resume Examples & Samples

Interacts effectively with all levels of the Compliance and business teams as warranted. Acts as part of a team conducting assurance reviews for all compliance functions considered to be second line of defense functions. Possesses the ability to learn and understand a variety of business and compliance topics and the related risks in a short period of time. Acts proactively, develops and suggests ideas for enhancements to the team's activities
Experience with a wide range of compliance functions and product lines
Proven ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines
FINRA Series 7, 9, 10, 24, 63 and/or 79 licensing a plus

Senior Manager Regulatory & Compliance Risk Resume Examples & Samples

Develop a framework to identify, assess, control, measure, monitor, and report regulatory and compliance risks across the U.S. Operations
Maintain effective relationships with U.S. Regulators and be the internal center of excellence for regulatory and compliance risk best practices
Collaborate with U.S. Legal and Compliance to create regulatory and compliance risk tolerances for the U.S. Operations
Develop and establish regulatory and compliance risk policies and standards while providing oversight and objective challenge to the 1st line of defense
Lead the compliance risk assessment effort that measures the inherent and residual risk associated with the U.S. Operations' business activities
Establish an internal control process that identifies the relationships among compliance policies, business processes/risks, and regulatory standards
Provide support to The Bank's Outsourcing and Other Arrangements program as a second line of defense challenge role to ensure the accuracy and completeness of arrangements
Collaborate with Operational Risk to ensure new products and services are assessed and business practices are understood
Participate in the development and delivery of specialized internal training on regulatory risk
Drive business performance through convergence of regulatory risk and compliance practices that allow for the identification of risk/compliance deficiencies and establish action plans accordingly
Coordinate with regulatory and compliance counterparts globally to share best practices and methodologies to maintain a competitive advantage for the bank and meet regulatory requirements
Collaborate with U.S. Businesses and support groups to establish Key Risk Indicators at the Enterprise and RCA Level. Ensure appropriate KRI owners are identified and provide timely information
A minimum of 5-10 years experience working in a regulatory and/or compliance capacity within a financial institution setting
Bachelor's Degree in business administration, finance, or similar field. Graduate degree or industry certifications preferred
Working knowledge of Capital Markets and current regulatory environment in the Financial Service Industry

Senior Manager Regulatory Compliance Resume Examples & Samples

4-7 years of experience in Financial Crime Compliance, with relevant Commercial Banking business line exposure. Expereince in Trade or PCM is an asset
Experience dealing with regulatory matters and interaction with Regulators
Ability to lead change and contributing to joining up with the other teams in Risk and Business globally
Experience of working within a matrixed environment preferred

Senior Manager Regulatory Compliance Resume Examples & Samples

Directs the Compliance Risk Management program in Canada, working with business stakeholders, head office departments and Compliance colleagues to create, acquire, implement and maintain a compliance risk management and analysis methodology that leverages the Operational Risk database and processes
Liaises with Local Regulatory Compliance (RC) teams and with the Financial Crime Compliance (FCC) team to ensure consistent development and execution of risk assessment methodology, and to further the creation of compliance charts, compliance review frameworks and other compliance materials based on compliance risk assessments
Synthesizes research and other information to develop concise approaches to prevent, detect and investigate compliance issues and makes relevant recommendations to improve existing processes, systems and operations to mitigate risks
This position involves significant project management responsibilities including ownership of the Compliance Risk Assessment process and directing or assisting with other projects that are important to corporate-wide compliance initiatives
Deliver clear communications to the business
Must be able to deliver services as part of the business Compliance team, across company lines, and to work independently in performing the job responsibilities
Bachelor’s degree in Business, Finance, or equivalent; and a Chartered Accountant (CA), Certifiecate in Risk Management Assurance (CRMA), Chartered Financial Analyst (CFA), Certified Financial Planner (CFP) or similar certification preferred
Minimum of eight years proven and progressive financial services experience, particularly in compliance, audit, risk management, or equivalent
Financial auditor, risk management or legal experience is considered beneficial
Excellent communication and inter-personal skills, with experience in dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business
Well-developed managerial, communications, analytical, organizational, and planning skills
Strong initiative and positive attitude required
Exposure to the discretionary money management and /or Financial Planning industry targeting High Net Worth individuals, including the service/products offered
Full understanding of all significant laws, regulations, and regulatory compliance requirements applicable to portfolio management and/or financial planning firms. Knowledge of anti-money laundering/terrorist financing, sanctions and securities regulation an asset
Strong knowledge of Portfolio Management firms, products, operations and systems combined with in-depth understanding of and experience with compliance risks and controls assessments
Familiarity with HSBC systems and proficiency with the use of an exception reporting programming language including the ability to program, generate and analyze reports to meet review objectives is preferred
High level of proficiency with Microsoft Office applications, particularly Excel, and other data analytics tools
Practical experience and familiarity with self-assessment models, operational risk and internal controls is preferred

Senior Manager Regulatory Compliance Risk & Strategy Resume Examples & Samples

Coordinating the completion of team’s reporting requirements to ensure they are delivered on time and to an acceptable standard
Support AOP activities and on-going monitor of department spend and streamlining activities
Provide support all RC external exams and internal audits
Support the Head of Risk and Strategy in ensuring appropriate RC Governance and connectivity of all RC functions, including shared services
Support with the implementation of Regulatory Compliance Group Strategy
Assist with the communication activities within RC Risk & Strategy
Support with the preparation and consolidation of half yearly compliance certificates
Support the implementation of RC policies
A minimum of 7 years of Regulatory Compliance experience in relevant industries, with strong background in Risk & Strategy management and oversight is preferred
Knowledge of key current regulatory change initiatives and their impacts on the businesses
Ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings
Highly motivated self starter with proven ability to work collaboratively within teams and to deliver on time

Senior Manager Regulatory Compliance Management Office Resume Examples & Samples

Support the Director in engagements with Scotiabank’s Business/Compliance Units and other internal/external RCM Stakeholders to identify industry best practices, capture Scotiabank-specific requirements, define enterprise standards and create common RCM processes
Assist in the development and implementation of RCM Program functionalities that will
Map Business Units to Regulatory Obligations and Key Controls
Contribute to the creation of the training model, delivery system and educational material to provide current and comprehensive information about Scotiabank’s RCM Program and the enterprise standards/processes that support the RCM technology-based RCM
Assist in the maintenance of the integrity and consistency of the standardized taxonomies, libraries and analytical frameworks upon which the RCM system relies for the effective collection, aggregation and reporting of compliance information
A minimum of 6 years’ progressive financial industry, professional services or legal experience in compliance, audit, risk, operations, shard services or a related field
Strategic, analytical, problem-solving and critical thinking capabilities
Spanish is an asset

Senior Manager Regulatory Compliance Global Banking & Markets Resume Examples & Samples

This role needs to lead without authority and be able to collaborate with multi stakeholders and deliver results. The role holder must be able to influence senior management and articulate clear business reasons for change initiatives
8 to 10 years regulatory experience in the investment banking financial sector
Prior experience of working in a Regulatory Compliance Advisory or Investment Banking Legal capacity
Deep understanding of regulatory compliance requirements applicable to Global Banking & Markets business
Wide knowledge of Global Banking & Markets business, including products (e.g. securities, fixed income, commodities, advisory), operations, systems and organization (e.g. Institutional Sales & Trading, Relationship Management Coverage, Origination, Project Export Finance)
Strong communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business

Senior Manager Regulatory Compliance Resume Examples & Samples

Physical Demands: Located in a comfortable indoor area
Environmental Conditions: No unusual conditions noted
Sensory Demands: No unusual conditions noted
Mental Demands: Considerable mental demands can be experienced by pressure from frequent deadlines, work interruptions, unpredictable or frustrating situations and simultaneous priorities and deadlines during quarter and year-ends. Normal office environment. Must be able to handle a diverse series of projects and initiatives while maintaining tight timelines and deadlines relating to MI production, reporting and analytics
The incumbent must be able to be fully conversant with the I.T. and technology systems currently in use within the various business units of the bank, including Finance systems such as HUB, TREATS, Sysgen (general ledger) Hyperion, Cognos, and other systems and applications
Degree in business, finance or related field, plus a professional accounting designation (CA/CMA/CGA)
Strong Treasury Products knowledge is desirable
7-15 years of work experience in complex/senior functions within the financial services industry preferably in the similar role
Strong knowledge of the Regulatory banking environment and familiarity with risk management
Experience in dealing with regional and/or global related entities is an asset
Advanced systems skills Excel, ESSBASE, ACCESS, Database management etc

Senior Manager, Regulatory Compliance Resume Examples & Samples

Ensure ITS policies, procedures and practices are in adherence to and in compliance with applicable rules and regulations of all relevant regulatory agencies and effectively operating through well designed controls within the ITS organization
Responsible for assessing the state of controls management and risk posture, providing insight into trends and assisting with determining the direction for ITS control management including the performance of regular assessments to determine overall health of regulatory compliance and effectively overseeing any resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future
Responsible for ongoing enhancement and maturation of the control stack, driving efficiency and effectiveness while enhancing overall risk posture
Responsible for regular reporting to the senior management team on regulatory compliance matters and control health and ensure reporting alignment to regulatory drivers including, but not limited to SOX / PCI / BASEL/MAS
Collaborate with other departments as needed to ensure compliance issues are addressed, investigated, resolved and once resolved, continually adhered to in practice
Lead a team of Risk Professionals to perform in the capacity of risk partners to the Technology groups to facilitate and coordinate internal and external audit team interactions and provide oversight and perform in the capacity of risk partners to the ITS teams groups to ensure successful and sustainable remediation and closure of issues on time
Support/Participate in developing the strategic direction of the IRM department
Develop and manage a team of professional resources by recruiting, training, coaching and conducting performance assessment of team members. Ensure team is meeting organizational and developmental objectives
Produce and manage departmental budgets
Strong expertise and familiarity with regulatory legislations and requirements applying to Global Financial Service institutions and demonstrated delivery results, including SOX, BASEL, PCI, MAS, etc
Ability to make an impact, influence and achieve results with effective negotiation, problem-solving and communication skills
Excellent communication skills and ability to effectively communicate messages to all levels of the organization
Expert knowledge of Bank, technology and risk standards (e.g., infrastructure, architecture, processes, applications)
Experience leading high performing, geographically dispersed teams
Comfortable with ambiguity and ability to cope with rapid change
Advanced and thorough understanding of businesses and/or organizational practices/ disciplines
Financial management experience
Good judgment— ability to determine which issues to escalate vs. to resolve independently, and provide suggestions for possible resolution
10 years minimum regulatory or technology controls, audit or risk management

Senior Manager Regulatory Compliance CMB PCM Resume Examples & Samples

Liaises with Local Compliance Officers (LCOs) and with Anti-Money Laundering Compliance team to ensure consistent development and execution of risk assessment methodology, and to further the creation of compliance charts, compliance review frameworks and other compliance materials based on compliance risk assessments
Bachelor’s degree in business, related field or equivalent experience; CA (Chartered Accountant), CISA (Certified Information Systems Auditor) or similar certification preferred
In-depth knowledge of systems development process and project management is essential. Familiarity with HSBC systems and proficiency with the use of an exception reporting programming language including the ability to program, generate and analyze reports to meet review objectives is preferred

Senior Manager, Regulatory Compliance Resume Examples & Samples

Ensures Compliance program is envisioned, designed, developed, and implemented across the enterprise to meet business needs. Interfaces with all other relevant functional areas to ensure that program and all associated activities are understood and working effectively
Ensures Ensures solutions are well engineered, operable, maintainable, and delivered on schedule
Monitors current and future regulatory Compliance trends, technology and information that will enable the organization to maintain a compliant position
Interfaces frequently with Senior Leadership to provide status on current state, progress on new initiatives and issues relating to regulatory compliance
Recommends and drives new initiatives which improve existing and new tools and/or processes to ensure continued regulatory compliance
Applies new and innovative ideas to old or new problems. Fosters environments that encourage innovation. Contributes to and supports effort to further build intellectual property via patents
Evaluate new and emerging security technologies for potential suitability in the company's environment
Work collaboratively across multi-disciplinary teams throughout the company as a security expert
Mentor security members and other areas of the company regarding security concepts
Creates and builds annual program roadmaps
Monitors and ensures quality of program deliverables. Leads core team and key field resources to develop and monitor deployment schedule, strategies, and tools
Handles budgets and assists leadership team with needs for their respective departments
Sets department standards and best practices. Develops and oversees staff and is available for guidance
Effective Communication
Information Security, Governance & Risk Management
Program Management
Strong knowledge of current PCI DSS

Senior Manager Regulatory Compliance GBM Cross Products & E-trading Resume Examples & Samples

Ensure, in conjunction with Product LCOs, that our policies, procedures, training, controls, etc. are adapted to facilitate the new rule requirements imposed by swap execution facilities, working cross product in doing so
Given the cross product nature of the role, the role holder will also consider etrading channels used across the firm to ensure we have a consistent framework to manage regulatory risk
Devise and deliver training on SEF (Swap Execution Facility) rules, for stakeholders including the Business and Compliance officers. Coordinate with the Compliance Inspection Unit to ensure that Compliance monitoring is adequately captures and tests Automated and Algorithmic Trading requirements owed by the firm
Coordinate with Compliance Surveillance to ensure that market abuse surveillance activity conducted for Markets meets required standards for SEFs and other electronic trading venues
Provide support to the SVP Head of RC Markets Cross Products as required
Minimum 7 years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent
Well-developed managerial, communications, negotiation, analytical, organizational, project management, and strategic and/or operational planning skills
Experience of working within an exchange or swap execution facility environment compliance function desirable

Senior Manager, Regulatory Compliance Resume Examples & Samples

Manage and document all activities pertaining to daily, monthly, and quarterly
Detail-oriented/analytical/high concentration level
Strong organizational, follow-up and time management skills; comfort in

Senior Manager Regulatory Compliance Management Resume Examples & Samples

Collaborate with various level of management within Enterprise Regulatory Risk Management and IB Business Units Head, subject matter experts in different Business Units, including the functions within the three lines of defense to assess and document existing regulatory compliance requirements, risks and the respective controls
Support Enterprise Regulatory Compliance Management in developing, implementing, and maintaining an enterprise-wide Compliance Program and culture of compliance in IB
Promote a risk-aware culture; ensure efficient and effective risk and compliance management practices by adhering to required local and global standards and processes
Maintain a high level of awareness and knowledge of regulatory compliance requirements to provide ongoing monitoring support to the Business Units by applying a risk-based approach to identify, risk-assess, communicate, manage and mitigate regulatory compliance risk
Provide centralized oversight to monitor and analyze reported regulatory compliance risks and control gaps to address systemic weaknesses in processes and report to stakeholders and senior management detailed review findings and recommendations
Escalate potential issues and exception items noted during the review process to senior management and Governance team for discussion and further investigation if deemed necessary
Monitor and review updates on outstanding audit issues and the respective management response to prepare consolidated report to Senior Management
Identify and address opportunities for improving Regulatory Compliance controls and efficiencies of processes
5+ years of experience in the financial services industry with strong experience in banking operations, including three years of experience and management responsibility in compliance, audit, internal control and/or enterprise risk management, preferably in the Banking sector
Strong knowledge in assessing and documenting internal controls, regulatory compliance requirements & controls and experience in implementing new processes and controls as well as in measuring their effectiveness
Ability to understand and translate regulatory requirements, Enterprise-wide compliance policies and related governance activities into the business operating model to achieve operational efficiency and control effectiveness
Excellent interpersonal and communication skills (both orally and in writing) with the ability to interact effectively with different levels of stakeholders, especially senior management Team in Toronto and the supported countries
Strong negotiation, influence and conflict management skills to handle sensitive and delicate situations in a professional and proactive manner
Working across cultures and in matrixed organizational structures
Structure analytical approach with the ability to discern the practical application of regulatory and legal requirements
Experience in organizational change management, operating model design and implementation and regulatory changes in a compliance or risk management environment
Ability to manage multiple operational risk projects at the same time and meet tight deadlines
Proficiency with MS Word, PowerPoint, Excel, Access, and SharePoint (Visio proficiency a plus)
Fluency in Spanish and English required

VP Senior Manager Regulatory Compliance Resume Examples & Samples

US Securities Regulations
Dodd Frank/Volcker
ERISA, Pension Risk, Fiduciary Risk
Conduct and Sales Practices
Operational Risk Management

Senior Manager, Regulatory Compliance Resume Examples & Samples

Maintain and monitor compliance to company policies for quality and computer systems compliance
Assist in the identification and establishment of the necessary procedures, tools and methodologies to cover all quality and computer systems activities
Advise and consult within Synthes and with suppliers to facilitate timely and complete resolution to quality and computer systems compliance issues
Advise and consult on departmental or company-wide projects for quality and computer systems compliance including, but not limited to preproduction, production and post-production activities
Responsible for partnering with Product Development and Operations to ensure alignment and consistent application of quality and computer systems procedures and methodology
On an as needed basis, participate in the performance of Due Diligence assessments of potential partners and acquisitions
Perform audits of Synthes facilities for compliance to or identify issues with Synthes Quality and Computer Systems Compliance requirements
Maintain a working knowledge of applicable regulations and standards associated with quality and computer systems in order to maintain a state of compliance while providing innovative solutions to meet changing business needs
Coordinate and facilitate 3rd party assessments of the company's quality and computer systems compliance program
Know and follow all laws and policies that apply to one's job and maintain the highest levels of professionalism, ethics and compliance at all times
Diligently participate in our compliance program-related activities as denoted by your supervisor or our Chief Compliance Officer
Manages immediate staff and acts as subject matter expert for the department
Assist in other Corporate Compliance activities as requested
Must be available for travel
University degree in engineering, science or another technical field
Equivalent degree and/or adequate associated work experience is acceptable
Generally requires 8-10 years related experience (working experience in and/or supervising quality and/or computer systems compliance activities in a medical device and/or pharmaceutical company
Experience in managing and/or in performing audits in a FDA or similar regulated environment or in a Notified Body environment associated with medical devices or pharmaceuticals
Excellent organizational and communication skills in English (written and verbal) – German is highly regarded
Excellent soft skills when working with others up, down and sideways within Synthes, with consultants and with suppliers

Senior Manager, Regulatory Compliance Resume Examples & Samples

Current knowledge of labeling regulations
Understanding of Genesis nutrition calculation software
Proficiency in the use of Microsoft Office products and high level of knowledge of computer functions
Synthesizes complex or diverse information with extreme attention to detail and organization
Ability to collects and research data
Working knowledge of analytical testing methodology and equipment necessary to support the business of bakery and salty snack products
Experience with web based documentation storage
Effective project management skills
Ability to work on multiple projects at one time; ability to prioritize work load and adapt to changes when needed
Able to generate creative solutions to complex problems
Ability to define problems, collect data, establish facts, forecast, and draw valid conclusions both mathematically and analytically
Technical writing skills related to regulatory and quality assurance
High level of communication required; speaks clearly and persuasively in positive or negative situations; writes clearly and informatively and able to read and interpret written information
Proven problem solving ability; sound judgment and decision making
Maximum confidentiality is required; appropriately handles sensitive and proprietary information

Senior Manager Regulatory Compliance Retail Bank Wealth Management Hsbc Investment Funds Inc Resume Examples & Samples

Provides direct support to AVP RC RBWM HIFC HIFC CCO
Work with and build a strong relationship with the business and legal
Develop and maintain trending analysis and KI’s
Report on HIFC activities to assist the HIFC CCO with compiling management reports for assigned areas
Complete other responsibilities, as assigned
Minimum of 7-10 years proven and progressive financial services operations, compliance and/or legal management experience or equivalent
Expertise dealing with laws, regulations and regulatory compliance requirements related to the MFDA and retail mutual fund sales will be considered an asset
Strong knowledge of assigned businesses, products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to the business
Proficiency with personal computers and pertinent mainframe systems and software packages, Word and Excel

Senior Manager Regulatory Compliance Resume Examples & Samples

Communicate all identified compliance and quality risks to his/her supervisor
Develop departmental policies and procedures to assure applicable regulatory requirements are fulfilled
Manage direct reports to assure that Quality Assurance responsibilities of applicable regulations are fulfilled
Assure staff receives appropriate regulatory training and mentoring to enable the execution of regulatory responsibilities
Assist in the development and presentation of regulatory training for Quality Assurance and operations staff
Schedule resources to manage compliance systems and assure timely completion of: (1) audits of regulatory records and reports; (2) inspections of facilities and equipment; (3) investigations, (4) audits of methods, practices, and controls
Review and endorse Quality Assurance reports of audits and inspections to assure proper and consistent interpretation of regulatory requirements and corporate policies
Assure that all records and reports are prepared, communicated, and retained in accordance with applicable regulatory requirements
Meet with operations personnel to explain audit findings, resolve conflicts, and consult on corrective and preventative actions
Interface with Regulatory Agencies during inspections
Interface with Regulatory Agencies during regulatory product filings and updates (GMP only)
Administer programs for measuring compliance and quality through pertinent metrics on key performance indicators and provide periodic reports to management
Represent the corporation during regulatory and client inspections/audits
Prepare site/operation personnel for client and regulatory audits and prepare appropriate summaries and reports of such audits
Coordinate the preparation of regulatory and client audit responses and corrective action commitments
Track corrective actions and apprise management of their status
Assure vendors and suppliers identified/designated by Charles River are assessed for the compliance with applicable regulatory requirements
Participate in Regulatory Affairs and Compliance projects and programs
Assure that Corporate Quality and Compliance Policies are implemented and administered at the site/operation
Manage activities of assigned group(s) to ensure optimum performance of the group/function
Responsible for personnel management activities such as: scheduling, personnel actions (hiring, promotions, transfers, etc.), training and development, providing regular direction and feedback on performance, disciplinary actions and preparing and delivering annual performance and salary reviews
Assist in the development of short- and long-range operating objectives, organizational structure, staffing requirements and succession plans
Assist in the development and recommendation of departmental budget and authorize expenditures
Develop and oversee the implementation of departmental training programs, including orientation
Support the policy of equal employment opportunity through affirmative action in personnel actions
Ensure adherence to pertinent regulatory requirements and to departmental policies, practices and procedures [SOPs, safety procedures and biosafety protocols]
Education:Bachelor’s degree (B.A./B.S.) or equivalent
Experience: Five to seven years experience in the pharmaceutical and/or biotechnology based industry
Experience in supervision quality assurance, quality control, and/or regulatory affairs
Experience with assisting or managing QA audits and inspections as well as interfacing with regulatory agencies
Good working knowledge of pertinent regulations and site SOPs
Demonstrates strong leadership ability, communication, and facilitation skills

Senior Manager Regulatory Compliance Retail Banking Wealth Management Hsbc Investment Funds Resume Examples & Samples

Act as a compliance subject matter expert (SME) to the business and ensure adherence to applicable regulations
Participate in special compliance reviews, projects and training efforts
IFIC Mutual Funds Course or Canadian Securities Course, and Partners, Directors, Officers course, Chief Compliance Officer’s course are required. CFP and other securities related designations will be considered an asset
Ability to exercise independent judgment is required

Senior Manager, Regulatory Compliance Resume Examples & Samples

Prepare the annual incurred cost audit submission(s) within the required timeframes
Provide the audit support documentation to the auditors in their reviews and audits
Work in coordination with the Contract Close-out Group in the preparation of Cumulative Allowable Cost Worksheets
Prepare the contractor’s response to contract audit reports and other regulatory compliance related matters
Utilize a wide variety of electronic business and software tools to obtain, organize, and present relevant business data for management
Provides recurring updates to senior leadership on current audit assignments, projects in process and developing industry trends
Organize, prepare and teach the salient topics within the compliance training program
Organize and lead periodic meetings with the Defense Contract Management Agency (DCMA) and Defense Contract Audit Agency (DCAA) representatives
Provide mentoring to junior staff members related to personal and professional development topics
Bachelor's degree in Accounting or related field
Requires ten (10) or more years of relevant experience with government contract accounting / regulatory compliance experience
Possess extensive, relevant knowledge of Cost Accounting Standards (CAS), Generally Accepted Accounting Principles (GAAP), the Federal Acquisition Regulation (FAR) cost principles, DFARS contractor business systems requirements and their applicability to a government contractor
Strong computer skills, including MS Excel, Word, and PowerPoint
Ability to use appropriate software tools for data mining and research
Strong writing skills and demonstrated communication skills
Previous managerial / supervisory experience
Possess the ability to work with the various internal functional groups including accounting, legal, human resources, budgeting & planning, contracts, pricing, accounts payable and internal audit
A Certified Public Accountant and/or advanced degree
Ability to obtain / maintain a security clearance
Minimal travel – 5-10%

Senior Manager Regulatory Compliance Retail Bank Wealth Management Hsbc Investment Funds Inc Resume Examples & Samples

Maintain awareness of major regulatory changes affecting HIFC by developing policies and procedures to remain compliant and ensure appropriate communication is provided to the business
Identify and report all significant regulatory compliance breaches or gaps
Work with legal and business management to design and implement changes to business policies and procedures as appropriate

Senior Manager, Regulatory Compliance Resume Examples & Samples

Direct registration team to timely accomplish goals that allow the company to meet its sales objectives
Oversee the filing of marketing state initial registrations, deficiency responses, amendments, and renewals, as well as the preparation of documents/exhibits (i.e. bonds, declaration of covenants, contract documents, escrow agreement, public offering statement, etc.) and gathering of information from various sources
Assist team members’ in the registration process and the preparation of related documents. Review team members’ work product for accuracy
Ensure registration related charts are timely and accurately maintained (i.e., Sales Authorization Report, Critical Documents Chart, Project Information Chart, Master Calendar, etc.)
Communicate pertinent registration information to management, inter-company departments (i.e., Sales, sales sites, Accounting, Deeding and Document Compliance, Inventory Management, Club, Legal, Operations) and fee for service developer (and/or its attorney), as applicable, during all phases of the registration process
Provide training to registration team and various departments/offices, as necessary
Provide coaching and counseling to team members, as necessary, under VP’s direction
Associates Degree or more than 6 years of relevant experience
3+ years drafting and proofing documents
3+ years of legal and timeshare experience
Strong administrative and organizational skills with an attention to detail
4+ years of supervisory experience with direct reports
3+ years of compliance experience
6+ years managerial experience