Senior Regulatory Specialist managing CMC renewals for Pharma and Vaccines. Collaborating across global teams to ensure compliance with regulatory requirements in pharmaceutical industry.
About the role
- Compliance Officer providing advisory guidance on compliance for investment advisers. Managing compliance reviews and enhancing the commercial compliance program across multiple locations including major U.S. cities.
Responsibilities
- Provide advisory compliance guidance regarding commercial activities
- Review institutional marketing materials
- Provide training for business teams
- Coordinate testing and communication of testing results
- Collaborate to implement enhancements across the commercial compliance program
- Serve as subject matter expert on a variety of compliance areas
- Make recommendations based on compliance reviews
- Escalate issues as appropriate and support formulation of responses
Requirements
- BA/BS degree
- A minimum of 5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser or service provider with a history of competence and increased responsibility
- Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and FINRA and ERISA regulation.
Benefits
- Health and welfare benefits
- Tuition assistance
- 401K savings and other retirement programs
- Employee assistance programs
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