You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firmâs culture of compliance. As an independent control function and part of the firmâs second line of defense, Compliance assesses the firmâs compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firmâs responses to regulatory examinations, audits and
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