Compliance

• Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and Corporate Policy requirements.
• Oversee the Front Line's execution and challenge appropriately on surveillance and market abuse risk related decisions.
• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
• Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding front line oversight
• Develop, oversee, and provide expert business and regulatory compliance functional knowledge.
• Develop and present Oversight program materials to senior management.
• Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines.
• Make decisions and resolve issues to meet business objectives.
• Interpret policies, procedures, and compliance requirements.
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
• Work with complex business units, rules and regulations on moderate to high-risk compliance matters.

Lead Compliance Officer – Trade Surveillance Oversight

Senior Export Compliance Officer

Senior Manager, Compliance Monitoring and Oversight

Fund Compliance Manager

Compliance Manager – Monitoring, Auditing, Risk

Associate Director, Regulatory Compliance