Financial Services Client
Office Status: Hybrid (6-7 days per month in office)
- Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
- Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
- Maintain and Oversee the Firm’s Electronic Trading activities
- Assist the business on implementing and documenting various supervisory/control mechanisms.
- Assist the business on drafting, updating, and implement relevant policies and procedures.
- Provide regulatory/compliance training.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
- Interact with federal and state regulators
- Perform testing and monitoring of compliance with firm policies for covered business areas
- Conduct compliance risk assessments to ensure effective business control framework
- Analyze new regulations and conduct business-based analysis and execute requite implementation.
- Provide ongoing reporting to senior management
- Develop and deliver proactive strategies and tactics that support compliance/business objectives