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. * Development and implementation of compliance-related policies and procedures * Development and deployment of second line controls and with the first line to develop their controls to ensure timely detection of issues and risks. * Ability to make sound decisions, ability to identify, understand, and articulate risks associated with regulatory reporting, partnering with multiple stakeholders to mitigate and ...
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