Ensuring reviews are being performed appropriately from a qualitative and timeliness perspective and provide challenge to the design, implementation and management of corrective actions - Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's 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 firm's responses to regulatory examinations, audits and inquiries. Founded in 1869, we are a leading global investment banking, securities and investment management firm.
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