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Become A Regulatory Compliance Manager

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Working As A Regulatory Compliance Manager

  • Communicating with Supervisors, Peers, or Subordinates
  • Evaluating Information to Determine Compliance with Standards
  • Establishing and Maintaining Interpersonal Relationships
  • Documenting/Recording Information
  • Getting Information
  • Deal with People

  • Mostly Sitting

  • Make Decisions

  • $86,200

    Average Salary

What Does A Regulatory Compliance Manager Do At KPMG

* Assist clients with addressing enterprise wide compliance, including compliance risk management programs, third party compliance reviews, privacy/customer information security, fair lending, the Community Reinvestment Act (CRA), the Home Mortgage Disclosure Act (HMDA), and the Unfair Deceptive Acts and Practices (UDAP)
* Write and present clear and concise reports and presentations containing meaningful recommendations to clients
* Contribute to industry and regulatory publications, write professional articles, and speak about current compliance issues at external seminars
* Lead consumer compliance regulatory business development efforts for primary target clients
* Schedule, plan, assign, and provide direction and review the work of the team members working on assigned engagements
* Additional Responsibilities for Director:
* Lead business development efforts for primary target clients
* Provide a leadership role on KPMG thought leadership efforts
* Serve as a leader in recruiting and retention efforts to develop the practice

What Does A Regulatory Compliance Manager Do At Goldman Sachs & Co.

* Assisting with the oversight of the firm-wide compliance risk assessment program
* Assisting in the development and delivery of risk assessment training
* Conducting Quality Control reviews
* Analyzing trends in the risk assessment results
* Assisting with responding to regulatory and internal reviews and audits

What Does A Regulatory Compliance Manager Do At BASF

* Legal
* Provide pragmatic, strategic and day-to-day legal advice and support to executives, business management and operational personnel of a commodities trading business with an emphasis on natural gas and NGLs, and petrochemicals including counsel on a broad array of legal and risk management issues (e.g. contracts and financial markets compliance matters, competition law) and counsel and guidance on the full range of commercial disputes and regulatory enforcement actions arising in the business;
* Report to a senior lawyer on the BASF North American legal team;
* Advise the relevant credit, risk management, and other control functions;
* Manage relations with outside legal advisers;
* Monitor developments and liaise with the central compliance function in New Jersey regarding commodity markets regulations and antitrust law;
* Coordinate with regional legal teams on legal issues that impact their respective region;
* Lead negotiations, help structure transactions and draft transactional documents, including e.g. offtake or distribution agreements, bespoke master trading agreements, margining agreements, and security documents, ISDA master agreements, EEI and NAESB agreements, working as required with in-house and outside subject matter experts;
* Develop, draft and negotiate gas transactions, including asset management agreements, auctions and RFP responses, and gas supply, storage and transportation agreements;
* Identify issues requiring, and establish and manage, cross-functional teams (e.g., intellectual property, tax, litigation, regulatory, and/or compliance counsel, risk management, finance and EH&S) to ensure complete and efficient resolution of all matters/transactions;
* Participate in senior leadership team meetings of the assigned business unit in order to align legal support with business strategy; and
* Provide compliance and legal training on relevant BASF policies, procedures and legal issues to meet the clients’ needs
* Compliance
* Keep abreast of regulatory developments and keep business advised about changes pertaining to the business;
* Assist with the management of regulatory relationships, including visits, investigations, enquiries, and routine reporting;
* Monitor changes to existing or new business practices and products to ensure that compliance guidance, training and oversight are adjusted accordingly;
* Assist the business in complying with all relevant regulations and provide the necessary advice and guidance to help ensure that appropriate operating procedures and controls are in place;
* Provide proactive regulatory advice to business managers and support functions;
* Act as the key liaison with the CFTC and SROs; respond to CFTC and SRO correspondence and queries;
* Update and maintain CFTC and SRO mandated records;
* Work with other functional departments in relation to the application of rules and regulations to their function;
* Work with the Regional Controller to develop and maintain Departmental policies and procedures, which are consistent with BASF Group’s global policies;
* Lead or support compliance related projects as and when required;
* Update and maintain the list of authorized traders for BIT Corporation; and
* Act as the contact person for the North American service platform compliance function, in particular with respect to Trade Controls (trade sanctions regimes) and with the Commodity Markets regulations compliance function in Switzerland

What Does A Regulatory Compliance Manager Do At TIAA

* Manage team of accounting professionals to complete various regulatory reporting and related items including:
* o Relevant Federal Reserve Bank corporate level reporting for TIAA
* o Identified U
* S. Treasury reports for aggregated TIAA and subsidiaries
* o Applicable Bureau of Economic Analysis reports including the Department of Commerce, U
* S. Census Bureau and others
* o Certain state insurance department filings
* o Any other pertinent internal or external reporting
* Oversee auditor independence matters and serve as liaison for the approved external audit firms.
* Provide direction to team for related daily operating activities.
* Oversee relevant internal reporting to senior management and/or TIAA Board, Audit Committee, etc.
* Collaborate with business partners across the organization to ensure compliance.
* Facilitate operating expense accruals and other periodic reporting responsibilities.
* Keep abreast of all new regulatory reporting requirements to ensure compliance and support and/or participate in various industry working groups.
* Other departmental duties as identified.
* Management/Leadership Responsibility:
* This position will manage five regulatory reporting employees.
* Area of Impact:
* This position is part of a larger team and has interaction and impact on the broader Regulatory Reporting Department.
* Additionally, this position has interactions and exposure outside of the Regulatory Reporting Department including Executive Management and other business partners in Actuarial, Treasury, Investment Accounting, Accounting Policy, Business Finance Office, Corporate Financial Planning & Analysis, etc.
* Problem Solving:
* This position will periodically assist with complex problem solving, including but not limited to interpretation of regulatory reporting requirements of various regulatory bodies.
* Additionally, this position will be responsible for continuing to evolve the analytics supporting regulatory reporting and benchmarking TIAA data to industry information

What Does A Regulatory Compliance Manager Do At Tech Data-Us

* Additional duties as assigned
* Meets attendance and punctuality standards

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Regulatory Compliance Manager Demographics


  • Male

  • Female

  • Unknown



  • White

  • Hispanic or Latino

  • Asian

  • Unknown

  • Black or African American

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Languages Spoken

  • Spanish

  • Comanche

  • Portuguese

  • German

  • Romanian

  • Greek

  • Carrier

  • Hebrew

  • Russian

  • Arabic

  • Italian

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Regulatory Compliance Manager

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Real Regulatory Compliance Manager Salaries

Job Title Company Location Start Date Salary
FSO Advisory Manager-Fsrm-Regulatory Compliance (RC) (Mult. POS.) Ernst & Young U.S. LLP New York, NY Sep 11, 2016 $168,000 -
Regulatory Affairs/Product Compliance Manager IGT, Inc. San Francisco, CA Sep 18, 2013 $164,902 -
Regulatory Compliance Manager LYFT, Inc. Islandia, NY Mar 10, 2016 $125,000
Regulatory Compliance Analyst/Manager 4 IAC Search & Media, Inc. Oakland, CA Apr 09, 2016 $115,000
Legal Manager, Bank Regulatory American Express Travel Related Services Company New York, NY Sep 20, 2014 $110,000
Regulatory & Compliance Manager Metlife Group, Inc. New York, NY Sep 03, 2014 $105,726 -
Regulatory Compliance Manager Eclinicalworks, LLC Westborough, MA Sep 18, 2016 $103,032
Regulatory Compliance Manager Siemens Energy, Inc. Orlando, FL Mar 01, 2011 $102,360
Regulatory & Compliance Manager Metlife Group, Inc. New York, NY May 01, 2013 $99,403 -
Regulatory Compliance Manager Mixpanel, Inc. San Francisco, CA Sep 06, 2016 $90,000
Regulatory Compliance Manager Eclinicalworks, LLC Westborough, MA Sep 18, 2013 $90,000
Regulatory and Compliance Manager Maesa LLC New York, NY Jun 14, 2016 $87,152
Regulatory Compliance Manager BASF Plant Science LP Parkton, NC Oct 01, 2011 $86,200
Regulatory and Compliance Manager Maesa, LLC New York, NY Aug 16, 2014 $82,368
Regulatory and Compliance Manager Maesa, LLC New York, NY Sep 22, 2014 $82,368
Regulatory Affairs & Compliance Manager Dynamic Biotech Inc. San Juan Capistrano, CA Jan 09, 2016 $80,579
Regulatory Compliance Manager Haliburton International Foods, Inc. Ontario, CA Aug 21, 2016 $75,000
International Regulatory Compliance Manager International Food Supplies Company, LLC Miami, FL Aug 25, 2015 $74,818
Regulatory Compliance Manager, North America Syneron, Inc. Irvine, CA Dec 01, 2013 $71,250
Regulatory Compliance Manager Brigham and Women's Hospital Boston, MA Dec 20, 2016 $70,022
Regulatory and Compliance Manager Natures Products, Inc. Sunrise, FL Dec 15, 2011 $63,349
Regulatory and Compliance Manager Natures Products, Inc. Sunrise, FL Mar 15, 2011 $63,349
Regulatory Compliance Manager, North America Syneron, Inc. Irvine, CA Dec 01, 2010 $62,400

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Top Skills for A Regulatory Compliance Manager


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Top Regulatory Compliance Manager Skills

  1. Regulatory Compliance
  2. Product Safety
  3. Procedures
You can check out examples of real life uses of top skills on resumes here:
  • Appointed the Director of Medical Records with responsibility over Regulatory Compliance.
  • Supervised 7 engineers to lead the product safety and compliance processes for product development cycle and sustaining.
  • Established and implemented office policies and standard work procedures.
  • Coordinated internal audits to ensure regulatory compliance and operational efficiency/accuracy.
  • Support each of the ten production facilities by participating in USDA and FDA regulatory reviews.

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