International Banking Client
Office Status: Hybrid
- In collaboration with stakeholders throughout the organization, responsible for overseeing the ongoing development of processes, policies, and procedures to help ensure compliance with the relevant regulatory requirements, including rules and regulations issued by FINRA, the SEC, NFA, and CFTC.
- Evaluate new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance program is implemented, as needed.
- Develop and deliver training and education to make employees aware of their compliance and regulatory responsibilities.
- Coordinate with Compliance Testing and Surveillance teams to provide reasonable assurance that the firm is in compliance with applicable regulatory requirements and internal policies.
- Recommend and implement enhancements to the Global Markets Regulatory Compliance program.
- Assist in responding to regulatory inquiries, audits, examinations and investigations.