Resides in the business and supports management in theday-to-day efforts related to first line of defense regulatory oversightmanagement with laws, rules, regulations and related policies.
Performsresearch and analyzes relevant information and transactions that warrantfurther investigation.
Communicates with internal and external parties as needed andmakes recommendations on necessary procedural / control changes on regulatoryoversight management matters.
This position requires knowledge of the Financial ServicesIndustry regulations, compliance, operations or auditing.
Strong oral and written communication skills and the abilityto implement compliance policies and procedures. Verify practices againststraightforward policies, with moderate supervision.
Document findings for management reports .
Gathers data and prepares materials for more senior teammembers to counsel business personnel on first line of defense compliance withpolicies.
No direct reports. Contributes to the achievement of team objectives.
Works on projects of limited size and levels of complexity.
Bachelor’s degree orthe equivalent combination of education and experience is required. At least 3years of relevant work experience preferred.