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 inquiries. * Support the development, analysis, drafting and implementation of related policies, procedures, standards, and processes to ensure compliance with applicable regulations and requirements - We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training ...
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