Senior Manager, Regulatory Compliance Resume Sample

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Stacey Rau
48650 Sarina Path,  Detroit, MI
+1 (555) 250 1082

Work Experience

Senior Manager, Regulatory Compliance
08/2015 - PRESENT
Philadelphia, PA
  • Provides advisory services and direction to all business and support areas regarding assigned regulations, regulatory requirements, and/or compliance risks
  • Partners with management and the line of business Local Compliance Officers (LCOs) to ensure products and services comply with applicable laws and regulations. Coordinates development and maintenance of supporting policies, procedures, agreements, and contracts
  • Supports an effective control environment by consulting with the line of business LCOs and business partners on the development of and changes to products and services and new vendor relationships
  • Ensures that a HNAH-wide Training Needs Assessment (TNA) has been created for assigned regulation(s), regulatory requirements and/or compliance risk to reflect the training required by the lines of business and by Compliance on an annual basis
  • Prepares summaries on compliance with assigned regulation(s), regulatory requirements, and/or compliance risks for senior management, and/or Committees/Boards or Executives as required
  • Reviews assigned area within the US Compliance function in accordance with the planned review schedule and continuous risk based methodology
  • Creates and delivers reports representing results of each functional review
  • Ensures appropriate and effective controls are in place within the Compliance function being reviewed
Senior Manager Regulatory Compliance
01/2012 - 02/2015
Phoenix, AZ
  • Completes work plan and work papers supporting review work
  • Detects areas of risk through review of Key Performance Indicators and Key Risk Indicators
  • Provides recommendations as a result of the review and assessment; manages process to ensure recommendations are implemented timely
  • Coordinating the completion of team’s reporting requirements to ensure they are delivered on time and to an acceptable standard
  • Support efficient allocation of scarce resources, including capital and people
  • Support the RC Chief of Staff to coordinate and provide support for sign off for annual RC AOP Canada
  • Support the Head of RC Risk & Strategy in the activities to proactively identify key emerging compliance risks across all RC categories and interface with other global compliance areas
  • Deputise for Head of RC Risk & Strategy as appropriate and manage all associated related work
Senior Manager Regulatory Compliance Global Banking & Markets
10/2008 - 07/2011
Boston, MA
  • A holistic view of compliance risks across Regulatory Compliance
  • Develop and strengthen Compliance, Risk and Regulatory Relationships
  • Supports strategy setting including Risk Appetite, Risk Map, top and top & emerging risks
  • Input into business planning, based upon own deep understanding of RC risks
  • Manage assigned specialized compliance functions for major financial services business groups of the largest and most complex nature. Ensure adherence to the Compliance Officer and Money Laundering Control Officer handbooks
  • To discharge the (Compliance Officer) accountabilities set out in the Compliance Officer Handbook by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators
  • Discharge the accountabilities set out in the HSBC Group Functional Instruction Manuals (FIMs) and MFDA requirements by pro-actively assisting management in identifying and containing compliance risk and fostering a compliance culture
  • Develop external contacts among industry peer groups to determine and validate that HIFC is following and is instrumental in developing industry best practices
  • Provide guidance to less experienced compliance personnel on regulatory matters, as appropriate


Muskingum University
2003 - 2007
Bachelor's Degree in Business

Professional Skills

  • Strong computer (PC) skills and experience with Microsoft Office
  • Analyze data to determine, validate and comment on trends in the credit portfolio
  • Preparation and filing of the local regulatory reporting package for the Canadian banking regulators including Pillar3 reporting
  • Establish and implement global standards and strategic policies which ensure HPWS’s exposure to current risks and emerging arising risk is managed
  • Provide coaching and counseling to team members, as necessary, under VP’s direction
  • Manage process, produce results and ensure data accuracy and completeness for Stress Testing submissions
  • Ensure data accuracy, completeness of LOB reporting

How to write Senior Manager, Regulatory Compliance Resume

Senior Manager, Regulatory Compliance role is responsible for retail, finance, securities, training, litigation, reporting, manufacturing, design, research, travel.
To write great resume for senior manager, regulatory compliance job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Senior Manager, Regulatory Compliance Resume

The section contact information is important in your senior manager, regulatory compliance resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Senior Manager, Regulatory Compliance Resume

The section work experience is an essential part of your senior manager, regulatory compliance resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous senior manager, regulatory compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular senior manager, regulatory compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Senior Manager, Regulatory Compliance resume experience can include:

  • Strong proven project management experience and skills; experience in governance oversight and management
  • Experience working in a legal or compliance role, preferably within a company
  • Experience making presentations before public agencies
  • Active engagement in regulatory inspections and audits/promoting good relations with the relevant regulators
  • Participate in the identification, implementation and validation of a QMS appropriate for the organization
  • Strong knowledge of business, products, operations, systems and organization

Education on a Senior Manager, Regulatory Compliance Resume

Make sure to make education a priority on your senior manager, regulatory compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your senior manager, regulatory compliance experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Senior Manager, Regulatory Compliance Resume

When listing skills on your senior manager, regulatory compliance resume, remember always to be honest about your level of ability. Include the Skills section after experience. Present the most important skills in your resume, there's a list of typical senior manager, regulatory compliance skills:

  • Management experience- Demonstrated leadership ability and experience. Demonstrated ability to self-motivate
  • Experience working on large, multi-disciplinary projects and developing/implementing new processes
  • Extensive experience implementing, interpreting, and providing guidance on domestic and international regulations for medical devices
  • Experience working in an ISO 13485 and 21 CFR 820 environment is required
  • Quality, compliance and regulatory experience in the medical device or other regulated manufacturing environment
  • Experience working directly with the FDA, Notified Bodies and other governmental agencies on Regulatory matters on a global basis

List of Typical Experience For a Senior Manager, Regulatory Compliance Resume


Experience For Senior Manager Regulatory Compliance Resume

  • Reporting to regulators
  • Engage in the rule making process directly with regulators to advocate for appropriate ridesharing regulations
  • Work closely with the Company’s safety department with respect to regulatory matters impacting employee and workplace health and safety
  • Conduct research on regulatory compliance issues that impact Lyft’s operations, marketing, finance, legal, and product teams
  • Communicates with the FDA regarding field actions, as needed
  • Oversees Medical Device Reporting process and procedures
  • Works closely with the Complaint Management Centers to assure BD remains compliant with US and other International Adverse Event Reporting activities

Experience For VP Senior Manager Regulatory Compliance Resume

  • Manage Plasma Master File updates, working closely with Biomat
  • Coordinate (or oversee) company activities with regard to Proficiency Testing in relation to AAB certificatio
  • Prepare the contractor’s response to contract audit reports and other regulatory compliance related matters
  • Assist team members’ in the registration process and the preparation of related documents. Review team members’ work product for accuracy
  • Develop, maintain and pro-actively update the requisite knowledge and expertise of US and International regulations, including pending legislation impacting the Company, with emphasis on product and/or ingredient (chemical composition) based regulations and related packaging and labeling requirements
  • Actively participate in and provide knowledge and guidance in the new product development process to ensure compliance of new products (both sourced and manufactured) with applicable US and International requirements
  • Work within a cross-functional matrix environment including Legal, Operations, Marketing and Commercialization team members to review and approve all product labeling and packaging

Experience For Senior Manager Regulatory Compliance Global Banking & Markets Resume

  • Develop, establish and maintain a communication and documentation process with external co-packers, vendors and suppliers to ensure compliance of all non-manufactured product, packaging and labeling, and all goods, raw materials and ingredients purchased by the Company. Responsible for collection, analysis and dissemination of MSDS sheets
  • Conduct compliance reviews, risk assessments and audits of the Company’s regulatory related processes; providing training and education to the appropriate business units and teams (internal and external) as needed and applicable
  • Manage external consultants and resources where appropriate with respect to issues requiring specialized regulatory expertise; including the oversight of the Company’s REACH Act and CSPC compliance; as well as TOSCA, CSPIA, and CARB
  • Serve as the Company’s liaison with wholesale customers and consumers on regulatory matters and with all external associations and compliance related organizations, including the Consumer Specialty Products Association (CSPA) and the Research Institute for Fragrance Materials (RIFM)
  • Proven experience with chemical, cosmetic and toxic substances (air care or fragrance experience strongly desired)
  • Proven ability to assess capabilities and develop corrective action measures required
  • The ability to develop, maintain and execute regulatory compliance strategies in a large company setting

Experience For Senior Manager Regulatory Compliance Retail Bank Wealth Management Hsbc Investment Funds Inc Resume

  • Track and document Lyft’s regulatory compliance obligations in California and other markets
  • Work cross-functionally with various teams to gather information for regulatory reports and audits, as required by their jurisdictions
  • Lead and facilitate internal and external audits, including certification and surveillance audits. Support oversight of third party inspections (FDA, UL, Notified Body etc.)
  • Lead and oversee efforts to remediate issues and ensures resolution. Lead and provide guidance in developing and managing the company’s regulatory compliance strategy for resolving process/quality system issues identified through audit findings and/or other escalated issues
  • Understand and interface with regional regulatory counterparts for applying US (FDA), Europe (MDD, CE mark), Canada and global regulatory requirements. Provide strategic and practical guidance on interpretation of regulations
  • Provide guidance, expertise, and direction to ISI’s cross functional teams on product risk, escalations, compliance actions, and need to perform any corrections or corrective actions
  • Oversee compliance responsibilities for facility moves and establishment registrations
  • Proactively identify and anticipate risk of non-compliance in a dynamic environment conformance to regulatory requirements, internal processes and policies

Experience For Senior Manager Regulatory Compliance Risk & Strategy Resume

  • Help proactively monitor changes in regulatory environment, changes in regulations and standards and help communicate and train the rest of the organization
  • Key member of escalation and investigation teams to understand, interpret and provide guidance on the required compliance actions and measures
  • Collaborates on the development of the Situation Analysis (SA) and Health Hazard Evaluation(HHE), as required. SA’s and HHE’s serve as the key inputs to the FAC process and are critical to making sound decisions relating to the quality issues and actions to be taken related to product in the field
  • Collaborates with leadership in Quality and Medical Affairs on the development and approval of the Field Action decision
  • Manages and/or executes Product Recalls and Field Safety Corrective Action Notices with Customers, Dealers, and regional regulatory representatives
  • Responds to and maintains communications with the FDA on MDR trends, FDA Inspections, 483 Responses, and other communication topics, as needed

Experience For Senior Manager Regulatory Compliance CMB PCM Resume

  • Actively participates in FDA Inspections; both pre-inspection activities, inspection management, and BD 483 Responses
  • Assists standards management activities for product standards which impact BD, as needed
  • Provides support service for Becton Dickinson legal in response to litigation as requested
  • Implement and maintain a compliant and efficient CAPA system
  • Ensure a rapid escalation and resolution of customer complaints
  • Chair regular meetings to address quality issues and CAPA’s for rapid resolution and visibility across the Company
  • Oversee and perform internal, external and customer audits as per audit plan for identification of opportunities for continuous improvement of the Quality System. Ensure timely process, closure and effectiveness check of audit observations

Experience For Senior Manager Regulatory Compliance Assurance Resume

  • Participate in Design Control activities to ensure documentation is completed as per requirements to ensure compliance and release of high quality product to market
  • Assists Finance in monitoring compliance matters in the assigned line of business for regulatory and operational risks and controls
  • Participate in Risk Management activities to ensure that risk is appropriately identified, mitigated and documented across the organization
  • Be an integral part of the group,and manage quality and compliance-based projects throughout company as part of a continuous improvement effort
  • Oversees facility approval process in order to obtain regulatory approval for new facilities for the final inclusion of these faculties into the Plasma Master File

Experience For Senior Manager Regulatory Compliance CMB Resume

  • Develop and maintain database(s) to track and monitor all regulatory aspects of the plasma facilities within company
  • Oversee and coordinate preparation of company facilities for readiness to regulatory agency inspections
  • Oversee and coordinate preparation and /or write responses to inspection findings related to FDA, COLA/CLIA, PPTA, customer and EU regulatory agencies. Work actively with other members of the organization. Finalize and review responses
  • With collaboration with Senior Director, routinely provide guidance to center and/or business unit leadership for routine and/or complex quality compliance issues/questions
  • Oversee and manage (or assign to team) the various Regulatory Compliance tools utilized

Experience For Senior Manager Regulatory Compliance Markets Regulatory Change Implementation Resume

  • Write/revise Change Requests, SOPs or other documents as needed
  • Work closely with other team leaders to ensure a well-rounded approach to all aspects of regulatory and quality compliance within the company
  • Develops and manages annual training and communication plan for assigned area, as appropriate, and in coordination with Compliance Training and Outreach and the Regulation Coordinators. This includes conducting business unit training needs assessments, participating in the development of compliance training content for business unit personnel and providing ad hoc training as needed
  • Leads team of Managers and Quality Compliance Specialists (QCS) to facilitate pre-inspection (scheduling, site master file), during (coordination, interaction with agencies, updates, issue resolution) and post-inspection (CAPA formulation, response writing) activities associated with Domestic, ROW and EU competent authority inspections of GPO facilities

List of Typical Skills For a Senior Manager, Regulatory Compliance Resume


Skills For Senior Manager Regulatory Compliance Resume

  • Assist and review Marketing’s advertising and supporting documents to ensure regulatory compliance with product claims and statements
  • Ensure the completeness and integrity of HSBC Bank Canada’s financial data being used in the regulatory returns
  • Manage process, produce results and ensure data accuracy and completeness for AOP/ LE submissions
  • Keep the documentation (Desk Instruction Manuals) up to date and signed off
  • Keep track of Regulatory changes, gap analysis, QIS and its impact on the reports and filings to Regulators
  • Ensure no penalties from Regulators

Skills For VP Senior Manager Regulatory Compliance Resume

  • Responsible for creating, reviewing and approving all labels for Bakery finished products manufactured internally or co-packed that sold domestically or internationally to ensure compliance with current regulations
  • Create, review and approve all labels for finished products manufactured internally or co-packed that are sold domestically and internationally to ensure compliance with current regulations
  • Oversees co-manufactured items including packaging review, Private Label Agreements, documentation management for Gluten Free Certification Organization, Non-GMO Project Verification, Whole Grain Council, and kosher certification
  • Function as a resource for Marketing department in regards to labeling features, including labeling requirements and product claims
  • Provide regulatory perspective for new and renovated products including labeling, claims, and ingredients, as well as possible identify and resolve regulatory hurdles that arise from project or business goals
  • Participate in the strategic planning process to integrate regulatory compliance across the organization
  • Function as a Regulatory resource to optimize SQF, HACCP, FSMA programs. Ensure all plants are updated with the current SQF Level 3 module in preparation of their annual audit
  • Review technical publications, articles, abstracts, and attends conferences to stay abreast of technical developments and relevant legislations and regulations in industry
  • Works with in-house Legal counsel to develop company protocol and strategy as it relates to maintaining regulatory compliance so that all product claims can be successfully defended

Skills For Senior Manager Regulatory Compliance Global Banking & Markets Resume

  • Maintain formulation information in Genesis, on the Technical Data Management SharePoint site and in VisionPoint
  • Facilitate Non-GMO Project Verification compliance. Including ingredient and formulation review and submission, for compliance to the (vendors) certifiers’ programs with the Non-GMO Project Verification Standard
  • Process product certifications on an annual basis. These include but are not limited to REAL Seal, Pas Yisael Kosher, Gluten Free, Whole Grain
  • Review and approve Formulation/Batch Sheets, Raw Material Quality Assurance Specifications and Finished Product Quality Assurance Specifications
  • Develop Regulatory Documentation for industrial customers: Material safety data sheets, Kosher, Nutritionals, Halal suitability determination, Ingredient Statements, Ingredient Percent Range Breakdowns, Allergen Declarations, Raw Material Specifications, Finished Product Specifications
  • Ensure appropriate tracking of issues and remediation
  • Liaise with Corporate Secretary, Monitor Liaison Office, Regulatory Liaison Office and other relevant areas to ensure timely and coordinated responses as appropriate
  • Provides compliance expertise in reviewing vendor services prior to contractual engagement and during the course of the contractual arrangement, including any modification with regard to the services performed or a change in product
  • Coordinates outreach efforts relative to Compliance procedures, regulatory and technical/procedural updates

Skills For Senior Manager Regulatory Compliance Retail Bank Wealth Management Hsbc Investment Funds Inc Resume

  • Reviews new and/or enhanced products and services as part of the New Product Due Diligence (NPDD) process to assess compliance risks and ensure adherence with regulatory requirements, where relevant
  • Reviews marketing and advertising initiatives, disclosures, strategies and materials and other communications to ensure adherence with applicable regulatory requirements
  • Discharge the Compliance Officer accountabilities set out in the Compliance Officer Handbook by pro-actively assisting management in identifying and containing compliance risk, monitoring and certification, fostering a compliance culture and optimizing relations with regulators. Ensure adherence to the HSBC Group Compliance FIM
  • Identify and report on all significant regulatory compliance breaches or gaps; work with Legal and business management to design and implement applicable remedial actions and changes to business policies and procedures as appropriate
  • Manages assigned general compliance functions for business groups typically of a large, complex nature
  • Works with management in the development and enhancement of products to ensure compliance with applicable laws and regulations; coordinate development and maintenance of supporting policies, procedures, agreements and contracts

Skills For Senior Manager Regulatory Compliance Risk & Strategy Resume

  • Ensures appropriate accommodations for examiners, facilitate information requests and meetings, participate in exit interviews and coordinate management responses to examination findings
  • Maintains strong awareness of major regulatory changes affecting assigned business(es) in order to proactively address the business impact in an evolving environment and to develop the appropriate response to remain compliant; ensure appropriate communication and development of appropriate policy/procedure changes to remain compliant
  • Identifies and reports all significant regulatory compliance breaches or gaps
  • Discharges the accountabilities set out in the Compliance Officer Handbook by proactively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators
  • Independent assessment of Global Retail Credit Risk policies or processes as a result of recommendations from audit and/or regulatory reviews working with Business Lines, Enterprise Programs Compliance, GRM, and Audit
  • Liaises directly with audit and ensure engagement from stakeholders is achieved to meet all commitments; escalating issues promptly, concisely, while clearly identifying actions and groups required to resolve them
  • Proven ability to accomplish high-level objectives in the context of annual business and compliance plans.
  • Demonstrated ability to identify risks and controls necessary to mitigate such risks
  • Providing advice to the business

Skills For Senior Manager Regulatory Compliance CMB PCM Resume

  • Designs and delivers reports that monitor the progress of recommendations, identifying and escalating issues to executive as required
  • Manages the regular review, change and approval process for Global Retail Credit Risk policies working with stakeholders to identify gaps to regulatory requirements as needed. Lead and/or support annual attestation processes as required within these policies
  • Monitors and assesses emerging/evolving Basel and non Basel related regulatory trends and changes including those issued by OSFI and the Basel Committee on Banking Supervision
  • Establish and implement strategic policies which ensure GBM’s exposure to current risks and emerging arising risk is managed
  • Communicates new regulatory developments with impact analysis to required stakeholders, collaborating with those impacted to satisfy regulatory requirements
  • Contribute to other regulatory compliance activities and initiatives as required
  • 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
  • Participate in the design and deployment of concise, near real time, reader-friendly reports that support the operational needs of Scotiabank’s Business/Compliance Units as well as the strategic needs of Scotiabank’s Senior Executive and Board of Directors

Skills For Senior Manager Regulatory Compliance Assurance Resume

  • 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
  • Participate in the delivery of the training programs that are required to teach new users about Scotiabank’s RCM standards, systems and processes and to update existing users in relation to new functionalities and enhancements
  • Help execute the quality assurance mandate to ensure Scotiabank’s continuing compliance with OSFI’s RCM Program obligations and with changing regulatory obligations in all the jurisdictions in which Scotiabank operates
  • Assist in the design, development, implementation, review and reporting on Regulatory Compliance program including policies and procedures to address RC risks at GBM and comply with applicable securities and banking laws and regulations
  • Assist with and actively participate in the implementation of end-to-end RC oversight, risk assessments, policies & procedures, training, monitoring & testing programs, and management of regulatory or self-identified issues and associated reporting of RC risks
  • Provide guidance and direction on RC related matters to GBM business and support functions. Assist line management, and in particular in discharging GBM responsibility for complying with all relevant regulations

Skills For Senior Manager Regulatory Compliance CMB Resume

  • Continuous review for appropriateness of framework to monitor regulatory developments impacting GBM
  • Ensure proactive approach is taken to identification of Regulatory Compliance risk change and potential impacts on GBM
  • Act as primary Regulatory Compliance contact for GBM, with accountability to the local business and the local compliance function for ensuring as a second line of defence that the business is compliant with all relevant regulatory requirements which include
  • Wide scope of knowledge of Retail Banking including products, services, operations, systems and organization
  • Deliver RC training and education
  • Product Knowledge of Equity or Fixed Income products, Securities lending or derivative/structured products
  • Oversight of regulatory change and business changes (e.g. new business opportunities, Business development, organization)
  • Effectively manage people (both directly and indirectly) and manage projects that include cross-functional teams representing diversified areas is required
  • Strong written communication, interpersonal, and project management skills

Skills For Senior Manager Regulatory Compliance Markets Regulatory Change Implementation Resume

  • Highly motivated with ability to multi-task and remain organized in a fast-paced environment
  • Applied understanding of QSR (21 CFR Part 820), Medical Device Reporting (21 CFR Part 806), Enforcement Policy (21 CFR Part 7), ISO 13485, European Medical Device Directive, and Canadian Medical Device Regulations (CMDR)
  • Demonstrated ability to work effectively with a variety of work groups, including cross functional teams, to assure conformance to regulatory requirements, internal processes and procedures
  • Maintain strong awareness of major regulatory changes affecting the HPWS business in order to proactively address the business impact in an evolving environment and to develop the appropriate response to remain compliant
  • Makes decisions regarding the implementation of existing compliance policies and procedures to accommodate and satisfy legal and regulatory requirements affecting HPWS and make recommendations for changes in the business policies and procedures

Skills For Senior Manager Regulatory Compliance Management Office Resume

  • Monitor business activities and regulatory environment to identify areas of compliance risk and assists line management in remedial solutions
  • Conduct compliance reviews and risk based assessments of HPWS to ensure the adherence with applicable internal policies and procedures and external regulations via monthly, quarterly and annual account and activity reviews
  • Identify and report on all significant regulatory compliance breaches or gaps; work with Legal and business management to design and implement applicable remedial actions
  • Optimize relationships with the regulators and facilitate information requests and meetings. Coordinate management responses to examination findings and participate in closing meetings
  • Prepare and distribute (or oversee) monthly trending reports and metrics to senior management regarding regulatory inspections and quality compliance issues
  • Participate in projects and training efforts and act on behalf of senior management, as required
  • Ensure compliance with regulatory controls as well as operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues

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