SmartSuite for the Regulatory Affairs Manager
The Regulatory Affairs Manager manages the organisation's relationship with its regulators: licences and registrations, filings and submissions, inquiries and examinations, and the commitments made in response. They keep the regulatory calendar and make sure every deadline is met with evidence.
What you own
- Maintain the register of regulators, licences and registrations
- Manage the regulatory filing calendar and submissions
- Coordinate responses to regulatory inquiries and examinations
- Track commitments made to regulators through to completion
- Monitor regulatory developments relevant to the organisation
- Brief leadership on regulatory interactions and risks
Where the role sits
Each name opens that role's page.
Reports to
Direct reports
Works closely with
GRC processes
The shared GRC process map, highlighted for this role.
Owns
accountable for the process
Touches
contributes or approves
Depends on
consumes its output
How SmartSuite helps, suite by suite
Each card is the persona record from that suite's Users tab.
How they use SmartSuite
Suites that serve this role
How SmartSuite supports this role
Compliance management. Holds the regulatory calendar with filings, licences and renewal dates, with reminders and evidence attached to each obligation.
Issues and actions. Manages regulatory inquiries and examination requests as tracked cases with owners, deadlines and response documents.
Reporting. Reports regulatory interactions, open commitments and upcoming deadlines to leadership.
Industry reference
The role is defined by whoever licenses the organisation. Banks hold charters from the OCC, state regulators or the FCA/PRA and file under their rulebooks; investment advisers file Form ADV with the SEC; insurers are licensed state by state under NAIC-based law. ISO 37301:2021 covers the engagement and commitment-tracking practice.
Healthcare organisations manage CMS certification, state licensure and accreditation surveys; life-sciences firms follow the RAPS body of knowledge for FDA and EMA submissions. Public bodies answer to inspectors general and legislative audit; technology companies increasingly manage data protection authorities, telecoms regulators and the EU's digital rulebook.
In their words
Related roles
See SmartSuite for your role
Start a free trial, or book a demo and we will walk through your role's workflows in SmartSuite.