Regulatory Specialist

A Regulatory Specialist ensures that companies comply with laws, regulations, and guidelines relevant to their industry. They focus on understanding and applying legal requirements to ensure that products, services, and operations meet all necessary standards and avoid legal issues.

Regulatory Specialists review and interpret regulations, prepare compliance reports, and implement processes to meet legal requirements. They often work with government agencies, guide other departments within the company, and help address any regulatory challenges or changes that arise.

Are you ready to ensure our company stays ahead of the curve in compliance and regulation?

Join our team as a Regulatory Specialist and be at the forefront of maintaining our adherence to industry laws and regulations, playing a crucial role in safeguarding our operations.

In this role, you'll interpret complex regulations, develop compliance strategies, and ensure that all aspects of our business meet legal standards. Your expertise will guide us through regulatory challenges, keeping us informed and prepared for any changes in the legal landscape.

Working closely with various departments, you'll provide essential support and advice, creating clear compliance protocols and ensuring our practices are always up to date and in line with industry requirements.

• Develop and implement regulatory compliance policies and procedures.
• Stay updated on regulatory changes and assess their impact on the company's operations.
• Conduct regular audits and reviews to identify and address any compliance issues.
• Collaborate with internal teams to ensure regulatory requirements are effectively communicated and implemented.
• Provide guidance and training to staff on regulatory compliance matters.
• Prepare and submit regulatory reports and filings promptly.
• Serve as the main point of contact for regulatory inquiries and audits.
• Participate in compliance risk assessments and assist in developing risk mitigation strategies.
• Investigate and resolve any compliance violations or discrepancies.
• Monitor industry best practices and recommend process improvements to enhance compliance.
• Coordinate with external legal and regulatory bodies as needed.
• Conduct internal compliance reviews and recommend corrective actions where necessary.
• Assist in evaluating the impact of new products or services on regulatory compliance.
• Maintain comprehensive documentation of compliance activities and findings.
• Collaborate with cross-functional teams on special projects related to regulatory compliance.

• Achieved 100% compliance with all relevant financial regulations.
• Decreased the number of compliance violations by X% within the first year.
• Ensured timely submission of all regulatory reports and filings.
• Successfully navigated regulatory audits with no significant findings.
• Reduced response time to regulatory inquiries by X%.
• Implemented at least two process improvements annually to enhance compliance practices.

• Bachelor's degree in Finance, Business, Law, or a related field.
• Proven track record of developing and implementing compliance policies and procedures.
• Minimum of 3 years of experience in a regulatory compliance role within the financial industry.
• Strong understanding of financial regulations and industry best practices.
• Professional certification in regulatory compliance (e.g., CRCM) preferred.
• Familiarity with regulatory reporting requirements and systems.
• Excellent attention to detail and analytical thinking ability.
• Exceptional problem-solving skills.
• Strong communication and interpersonal abilities.
• Ability to work collaboratively with cross-functional teams.