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. The role creates an opportunity to lead and deliver key cross functional projects for the firm, engaging at all stages of the project life-cycle. * Project planning and execution: assist in the development and management of project plans for regulatory remediation efforts, including scope, timelines, resources, and deliverables - We're committed to fostering and advancing diversity and inclusion in our own workplace and ...
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