Regulatory Compliance Manager - Resume Example & Template

Resume of Regulatory Compliance Manager in Text Format

SIDDHANT MAHESHWARI

Phone: 9953776253 | Email: info@getsetresumes.com | LinkedIn: linkedin.com/company/getsetresumes

REGULATORY COMPLIANCE OFFICER -leveraging 8+ years of experience

A highly skilled and dedicated Regulatory Compliance Officer with a strong background in ensuring organizational compliance with relevant laws, regulations, and industry standards. Equipped with extensive knowledge of regulatory frameworks, risk management, and compliance best practices. Possesses excellent analytical skills, attention to detail, and the ability to navigate complex regulatory landscapes. 

PROFILE SUMMARY 

• A Regulatory Compliance Officer with an emphasis of achieving objectives in developing and implementing effective compliance programs, conducting audits, and providing guidance on regulatory matters. 
• Experience-backed abilities in conducting compliance risk assessments, audits, or internal reviews is highly desirable.
• Great analytical abilities, with strong research skills enabling the production of accurate and informative legal content.
• Adhering to legal and ethical guidelines while effectively communicating key messages and showcasing the value of legal services.
• Exceptional written and verbal communication skills, with the ability to present complex information in a clear and concise manner.
• Successfully navigates complex regulatory landscapes, ensuring organizational compliance with changing laws and regulations.

CORE COMPETENCIES

• Regulatory Compliance 
• External Auditing 
• Government Regulations 
• Risk Assessments
• Compliance Issues 
• Analytical Skills
• Regulatory Submissions
• Regulatory Issues
• Communication Skills

PROFESSIONAL EXPERIENCE 

The Advocates, Chennai | May 2021 - Present 

Regulatory Compliance Officer

• Developing and maintaining a comprehensive understanding of the organization's products, services, processes, and operations.
• Designing and implementing compliance programs and policies to ensure adherence to applicable regulations and mitigate compliance risks.
• Conducting regular internal audits and risk assessments while identifying areas of non-compliance and developing corrective action plans.
• Collaborating with various departments and providing guidance on compliance-related matters and assisting in integrating compliance requirements into business processes.
• Monitoring and evaluating changes in regulations and assessing their impact on the organization's compliance obligations.
• Developing and delivering compliance training programs to educate employees on regulations, policies, and procedures.
• Establishing and maintaining effective communication channels for reporting potential compliance issues, violations, or concerns.
• Investigating reported compliance violations, conducting internal investigations, and implementing corrective actions to address identified issues.
• Preparing and submitting regulatory reports, filings, and disclosures as required by applicable laws and regulatory authorities.
• Serving as the primary point of contact for regulatory agencies and external auditors during compliance audits and inspections.
• Providing regular reports and updates to senior management on the status of compliance initiatives and potential areas of concern.
• Collaborating with legal counsel to interpret and apply regulations, resolve compliance-related legal issues, and provide guidance on compliance risks.

The Maniacs Legal World, Chennai | May 2018 - Apr 2021

Compliance Analyst

• Conducted compliance risk assessments to identify potential risks and vulnerabilities in the organization's operations, processes, and systems.
• Monitored changes in laws, regulations, and industry standards to ensure ongoing compliance and assess the impact on the organization's operations.
• Assisted in developing and implementing compliance policies, procedures, and controls to mitigate compliance risks and ensure adherence to regulations.
• Supported compliance audits, assessments, and internal reviews to evaluate compliance with applicable laws, regulations, and internal policies.
• Collaborated with cross-functional teams to provide guidance on compliance-related matters and assist in integrating compliance requirements into business processes.
• Analysed data, reports, and documentation to identify compliance issues, anomalies, or trends and recommend corrective actions.
• Assisted in the preparation of compliance reports, presentations, and documentation for management, regulatory bodies, and auditors.
• Supported investigations into compliance-related incidents, gather evidence, and assist in the implementation of corrective actions.
• Maintained accurate and up-to-date records of compliance activities, findings, and remediation efforts.

Attorney's Industries, Chennai | May 2017 - Apr 2019

Regulatory Affairs Associate

• Collaborated with cross-functional teams to gather and compile technical documentation and data necessary for regulatory submissions.
• Reviewed and analysed regulatory requirements, guidelines, and standards to ensure adherence and compliance in product development and commercialization.
• Coordinated and responded to inquiries, requests for information, and deficiencies from regulatory authorities during the review process.
• Supported regulatory compliance activities, including post-market surveillance, adverse event reporting, and labelling compliance.
• Collaborated with internal teams and provided guidance on regulatory requirements and ensure compliance in product design, labelling, and promotional materials.
• Monitored changes in regulatory requirements and assess the impact on existing products, processes, or labelling.

INTERNSHIPS 

The Advocates, Chennai | Apr 2015 - Apr 2016

Legal Intern

• Conducted legal research on assigned topics, using online databases, case law, statutes, and legal publications.
• Assisted in drafting legal documents, such as contracts, memos, briefs, and correspondence, under the guidance and supervision of experienced attorneys.
• Reviewed and analysed legal documents and contracts to identify key provisions, potential issues, and legal risks.

ACADEMIC CREDENTIALS 

EDUCATION: 

• BA (LL. B), University of Law, Management and Applied Sciences, Chennai | Jul 2012 - Apr 2015

PERSONAL DOSSIER

Languages Known- English, and Hindi