Regulatory Compliance Officer
Regulatory Compliance Officer
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Job Description
The Regulatory Compliance Officer is responsible for supporting the companys adherence to relevant regulations. This role involves assisting with regulatory license maintenance liaising with regulators and helping ensure compliance with evolving regulatory frameworks.
Responsibilities:
Assist in monitoring compliance with applicable laws regulations and guidelines.
Support compliance risk assessments and audits under the guidance of senior team members.
Help implement and maintain compliance policies and procedures.
Support the preparation and submission of regulatory reports and filings.
Assist in responding to routine regulatory inquiries and examinations.
Maintain records of communications with regulatory bodies.
Help maintain and renew regulatory licenses and certifications.
Track deadlines for license renewals and ensure documentation is up to date.
Assist in organizing compliance training sessions for employees.
Help disseminate updates on regulatory changes and compliance requirements.
Assist in drafting and updating compliance policies and procedures.
Ensure compliance documentation is organized and accessible.
Support the investigation and resolution of compliancerelated issues or complaints.
Document incidents and assist in preparing reports for senior management.
Job Types: Fulltime Remote
Education:
Undergraduate minimum but able to work in USA
Experience:
regulatory compliance finance or a related area
Employment Type
Full Time
