Compliance

• Assess the adequacy of first- and second-line of defense controls and prepare reviews for senior management detailing assessment of the effectiveness of the Compliance program for in-scope Markets rules.
• Conduct analysis related to laws, rules, regulations and best practices related to the Markets Compliance program.
• Assist Compliance Testing teams from EMEA and APAC with advisory coverage of the relevant U.S. Markets regulations.
• Assist in responding to regulatory inquiries, audits, examinations and investigations.
• Work either independently or as part of a team in executing test programs and supervise and review the work of others that may be assisting on a review.
• Identify control and compliance issues, assess, and document the related risk, identify the root cause, and make reasonable recommendations for resolution.
• Responsible for ongoing communication with “clients” throughout the testing process to keep them apprised of progress and findings.
• Write clear, concise, and analytical evaluation reports and other workpapers summarizing level of risk, scope, objective, findings, and recommendations, consistent with the established procedures and templates.
• Adhere to the Bank’s risk vision, and risk management policies and programs, and identify and effectively manage risks associated with activities in the business lines we support.
• Responsible for the establishment or enhancement of test or review programs associated with Markets compliance and internal program standards.
• Lead complex compliance reviews.

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