Regulatory Affairs Professional
4 days ago
Job Title: Regulatory Affairs Professional
Job Summary:TASQ Staffing Solutions is seeking a Regulatory Affairs Professional to join our team. The successful candidate will be responsible for ensuring that all internal policies and procedures are in place and maintained to ensure compliance with regulatory requirements.
This includes reviewing operational manuals, investigating non-compliance issues, and submitting various regulatory reports. The Regulatory Affairs Professional will also be responsible for promoting a culture of compliance within the organization and providing compliance advice and guidance to internal customers.
The ideal candidate will have a strong understanding of corporate governance requirements and principles of risk management and compliance. A bachelor's degree in finance, accounting, economics, or any business course is required, along with 2-5 years of experience in risk, compliance, or audit.
The Regulatory Affairs Professional must be licensed by the SEC to act as an Associated Person and possess excellent written and verbal communication skills, planning, leadership skills, problem-solving, business analysis, and good interpersonal skills.
Key Responsibilities:- Monitor and review operational manuals to ensure compliance with regulatory requirements.
- Investigate non-compliance issues and submit various regulatory reports.
- Establish and draft compliance policies and provide compliance advice and guidance to internal customers.
- Design training programs applicable to the needs of each department.
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