Regulatory Compliance Officer Resume Samples

A Regulatory Compliance Officer ensures that the organization complies or operates in conformity with the outside regulatory and legal requirements, as well as internal policies and bylaws. A well-written Regulatory Compliance Officer Resume mentions the following core duties and responsibilities – taking necessary steps to comply with relevant laws, policies, and regulations in the process of attaining the goals, and objectives; ensuring the company is equipped with internal controls that measure and manage the risks; identifying and managing regulatory risks, reviewing and setting standards for outside communications by examining facilities, and leading the internal audits of procedures.

Following are some of the basic qualifications that employers expect candidates to fulfill while seeking this job role – working experience, well-developed communication skills, strong analytical skills, the ability to pay attention to detail, and an investigative mindset. Strong and deep knowledge of regulatory policies is also needed. A bachelor’s degree in a relevant field is needed, and some employers may prefer those having a Master’s degree.

Regulatory Compliance Officer Resume example

Regulatory Compliance Officer Resume

Headline : Strongly reliable and focused Regulatory Compliance Officer with a chemistry background and great depth of experience within the flavor and fragrance chemical industry. Excellent at multitasking, with a superb ability to handle multiple projects efficiently and accurately. Effective independent worker, as well as an excellent coordinator with other members of a regulatory affairs team.

Skills : Coordinating Skills, Compliance Officer.

Description :

    1. Developed, implemented and maintained regulatory strategies for new and modified chemical production processes and SOPs (Standard Operating Procedures).
    2. Reviewed and responded to all product complaints and queries.
    3. Provided applicable documents for both domestic and international supply submissions.
    4. Reviewed chemical labeling materials for accuracy and completeness.
    5. Ensured compliance with company, state and federal requirements for all performed work.
    6. Converted all in-house material safety data sheets to the newly conforming GHS (Globally Harmonized System) format.
    7. Assessed and evaluated quality control reports and analyses provided by companies on a regular basis for an acceptance or rejection conclusion.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Junior
Education
Education
MS


Regulatory Compliance Officer Resume

Summary : Providing all necessary guidance, technical assistance, and training to internal staff, PRDOH, and sub-recipients that will help them to enforce compliance with the most current version of policies, regulations, and standards for CDBG-DR programs.

Skills : Regulatory Compliance, Supervisor.

Description :

    1. Directed the development or implementation of compliance-related policies and procedures throughout the organization.
    2. Conducted direct the internal investigation of compliance issues.
    3. Conducted periodic internal reviews or audits to ensure that compliance procedures are followed.
    4. Filed appropriate compliance reports with regulatory agencies.
    5. Identified compliance issues that require follow-up or investigation.
    6. Kept informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
    7. Monitored compliance systems to ensure their effectiveness.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
BA In Business Management


Regulatory Compliance Officer Resume

Summary : Ensuring consistency in the understanding and application of related policies, procedures, and the understanding of regulations, and legislation by providing in-depth regulatory, scientific, or technical information, explanatory guidance, advice and recommendations to colleagues, management, other federal departments/agencies, industry, stakeholders, interest groups, professional associations or the general public.

Skills : SAS Programming, Credit Risk Analysis, Fair Lending, Regulatory Compliance.

Description :

    1. Oversaw security operations for construction projects, special events, and other special security operations to ensure compliance with the Airport Security Program (ASP) and provide proper security materials, and conducted briefings to appropriate entities.
    2. Monitored the procedures and operations of air carriers and tenants with security responsibilities over Exclusive Areas as established by agreement with the Airport.
    3. Provided Airport staff and aviation and non-aviation tenants with regulatory information and guidance.
    4. Responded to and assisted in all security emergencies and crises such as Explosive Device threats, air piracy, and terrorism.
    5. Prepared informational and operational reports.
    6. Worked within Security Operations Center (SOC) performing Closed-Circuit Television (CCTV) and access control system monitoring and surveillance ensuring compliance with Transportation Security Association (TSA) and Airport Regulations.
    7. Ensure you have all necessary documents available when starting the application process. 
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
BA

Regulatory Compliance Officer Resume

Summary : Preparing all necessary program-wide documentation and reports to PRDOH to communicate sub-recipients CDBG-DR program compliance performance and the status of any compliance issues.

Skills : Microsoft Office, Adobe.

Description :

    1. Supported Credit Union in the continued development, implementation, and maintenance of mortgage lending compliance programs and ensures adherence to regulatory agency directives, memoranda, interpretive rulings, laws, and regulations.
    2. Reviewed and interpreted regulatory proposals and passed rules and regulations, drafts regulatory responses and comments, and recommends and implements OnPoint responses to meet changing regulatory requirements.
    3. Reviewed third-party lending compliance reviews to identify issues and identifies actions needed in operational areas to improve or maintain regulatory compliance.
    4. Partnered with operational areas to implement necessary changes.
    5. Performed compliance reviews of mortgage lending practices and outputs.
    6. Designed and developed testing strategies and methodologies to add value to OnPoint processes.
    7. Oversaw or completed HMDA, Freddie Mac, Fannie Mae, HUD, and other mortgage-related periodic reporting and related problem-solving.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Mass Communications

Regulatory Compliance Officer Resume

Objective : Resourceful professional offering skills in compliance issues, environmental regulations, and implementing safety protocols. Willing to tackle complex issues and coordinate with other departments to achieve defined goals and standards.

Skills : Managing Skills, Supervising Skills, Management Skills.

Description :

    1. Reviewed the status of existing and proposed Federal and State regulations that impact the Authority's operation, such as; Air Pollution, Hazardous Waste disposal, and other areas as deemed necessary.
    2. Participated in special studies as assigned by the Executive Director.
    3. Maintained records for all programs related to safety, health, and environmental management.
    4. Ensured compliance with mandated programs working with Department Heads to submit to government agencies in a timely manner the reports, surveys, and inventories.
    5. Maintained effective communication and good working relationships with employees, government officials, general public, and SRVSA Board of Directors.
    6. Responsible for developing and implementing the Authority's Pretreatment Program.
    7. Responsible for coordinating the Right to Know program, preparing and submitting the annual survey.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
MS

Regulatory Compliance Officer Resume

Headline : Ensuring compliance oversight program is effective for providing compliant Quality Assurance/Control for manufacture, repair, support, and airworthiness components provided to Gulfstream Repair Stations or provided over the counter to customers.

Skills : Customer Service, Communication Skills.

Description :

    1. Developed, initiated, maintained, and revised policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
    2. Managed day-to-day operation of the Program Developed and periodically reviewed and updated Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
    3. Collaborated with other departments (e.g., Risk Management, Internal Audit, Employee Services, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
    4. Consulted with the Corporate attorney as needed to resolve difficult legal compliance issues.
    5. Responded to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures.
    6. Monitored, and as necessary, coordinated compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
    7. Worked with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
B.S In Criminal Justice

Regulatory Compliance Officer Resume

Headline : Able to handle tasks at both individual and group level Works well with people Knowledge of Microsoft Office and statistics-based programs Able to comprehend new skills quickly.

Skills : Planning Skills, Developing Skills.

Description :

    1. Provided expertise and guidance in interpreting government regulations, agency guidelines, and internal policies to assure compliance during remediation activities.
    2. Developed and administered the Novartis Lincoln Regulatory Inspection Process.
    3. Ensured adequate preparation for Health Authority and Corporate audits.
    4. Tracked and drove completion of FDA Deliverables.
    5. Developed Health Authority communications, including written correspondence and responses to 483's.
    6. Supported Regulatory Affairs and CMC Site Facilitator with Product Annual Reports and product registration.
    7. Developed, implemented, and maintained a knowledge management program to ensure that information from Novartis Group Quality, Health Authorities, and other industry sources were assessed for potential impact on organizational processes.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Management
Education
Education
MS

Regulatory Compliance Officer Resume

Headline : Obtain a full-time Regulatory Compliance Officer position working for a company that will utilize my knowledge and experience as well as provides versatile and challenging responsibilities with the potential to grow within the company.

Skills : Training Skills, Researching Skills.

Description :

    1. Responsible for managing annual certifications, manually inputting and tracking confirms and statements for over 5000 employees, verify Outside Business Activities against our conflict management system and against U4 to ensure proper disclosure.
    2. Worked directly with auditors to provide timely answers and information in excel format to audit requests.
    3. Worked directly with the Local Compliance Officer to provide updates on Certifications, Employee Violations, and improperly disclosed items.
    4. Researched, reviewed, and raised employee issues directly to Management, HR, and the Local Compliance Officer for review and action.
    5. Monitored employee Trading Against restricted list and raise possible issues or overrides to the US Control Room if required.
    6. Ensured proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
    7. Maintained and updated the Discharge Prevention Containment Program and Countermeasure Program(DPCC), Discharge Clean Up and Removal Plan(DCR), and Stormwater Pollution Prevention Plan(SPPP).
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Bachelors

Regulatory Compliance Officer Resume

Summary : As a Regulatory Compliance Officer, responsible for Keeping abreast of current trends and practices and appropriately communicates pertinent information, Preparing and distributing approved submissions, and also Assisting with the preparation of responses to proposed regulatory amendments.

Skills : Monitoring Skills, Management Skills.

Description :

    1. Responsible for ensuring compliance with applicable laws and regulations, administer a training program for bank staff in those laws and regulations including individual responsibilities for compliance, and administer a monthly audit program to ensure appropriate monitoring of internal banking operational functions in a timely manner.
    2. Responsible for managing all activities that serve to provide appropriate access to and protect the confidentiality and integrity of customer, employee, and bank information in compliance with regulations, policies, and standards.
    3. Included training and oversight of bank staff and third-party vendors ensuring proper security clearances, performing information security risk assessments, reviewing all system-related security plans, and monitoring compliance with security policies and procedures.
    4. Responsible for research, investigation, analysis, and reports on suspicious customer activity in compliance with the Bank Secrecy Act.
    5. Included reviewing and analyzing suspicious alerts, preparing Suspicious Activity Reports, providing support to bank staff that reports on suspicious activity and potential money laundering, analyzing high-risk customers and suspicious transactions that appear fraudulent, and recommend appropriate follow-up.
    6. Audited drug and device research studies using specified audit tools.
    7. Ensured patients' rights, safety, and welfare are protected.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
BA

Regulatory Compliance Officer Resume

Headline : Developing and implementing strategies to facilitate the progress of Sanmina-SCI's worldwide medical division; Working with assigned Medical Division facilities on conformance to company quality and regulatory initiatives.

Skills : MS Office, Safety Culture Development, Accident/ Incident Investigation, Hazard/ Risk Assessments.

Description :

    1. Developed strong relationships, strategic market investments, and the ability to capitalize on new opportunities, we've grown to a $2.5 billion business.
    2. Ensured organizational compliance with and enforcement of the U.S.
    3. Prepared and maintained training materials, manuals, and site policies and procedures.
    4. Audited all Informed Consent Forms, Study and Source Documents, IRB Correspondence, weekly meeting agendas/minutes.
    5. Reviewed and signed off on marketing messages and materials.
    6. Updated Board policy to ensure internal consistency and regulatory compliance.
    7. Prepared management reports regarding compliance operations and progress.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Business Administration