Compliance, Federation Compliance - Regulatory Transaction Reporting, Vice President
As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries.
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Part of the Global Compliance Division, the firm's Federation Compliance team is a global team with responsibility...
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Part of the Global Compliance Division, the firm's Federation Compliance team is a global team with responsibility...
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