VP, Global Markets Regulatory Compliance Monitoring And Surveillance Compliance Officer

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Conducting monitoring and surveillance reviews of sales and trading activity, and communications, for possible regulatory or internal policy violations.
  • Maintenance and development of procedures for surveillance and monitoring reviews.
  • Identify and recommend opportunities for process improvement to the overall control framework.
  • Report findings and make recommendations to management for appropriate remediation.
  • Assist in responding to regulatory inquiries, audits, examinations and investigations.
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