AVP Compliance Risk Review

Main Function

Opportunity to join the Global Compliance Risk Review team (“CRR”) supporting the Compliance Risk Review Program for the Americas. The CRR program is designed to independently assess and report on areas of potential reputation or regulatory risk by verifying business understanding and testing compliance with relevant regulations and policies. In the U.S, the CRR team will be primarily responsible for evaluating compliance with Firm policies and procedures in accordance with relevant regulatory requirements including, without limitation, NYSE Rules 342 and 343, NASD Rules 3010(c) and 3012, as well as U.S. banking laws.

Main Duties

 

Person Requirements

Basic Qualifications:

Education:

Experience:

Preferred Qualifications:

Ability to anticipate and provide solutions to complex problems

July 11, 2013 • Tags: , • Posted in: Financial

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