Core Compliance Manager

Full Time

Madison-Davis Client

Job Responsibilities

  • Compliance Monitoring & Surveillance
    o Assist in Compliance Surveillance & monitoring activities
  • Compliance Metrics Reporting
    o Assemble/Calculate/Report on Compliance Key Risk Indicators
  • Support Compliance Assessments
    o Risk Control Self-Assessment RCSA
    o Core Compliance Risk Assessment
    o Risk Governance Assessment
  • Support Compliance Governance & Reporting
    o Assemble data for HO Reporting
    o Assemble data for Branch & CUSO Reporting
    o Assemble Committee materials presentation package
    o Assemble data for Regulatory Affairs, Exams & Inquiries

Job Requirements

  • 4-6 years of relevant work experience
  • Bachelor’s degree
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