VP Compliance Investment Advisory recruitment
Primary responsibilities:Work to establish a risk based review plan to meet cycle requirementsPerform testing of compliance and regulatory related controls to evaluate effectivenessDraft preliminary recommendations and work with responsible owners to agree on corrective action based on review findingsFollow up on action plans to verify that corrective action has been effectively implementedProvide necessary training and assistance to other members of the team to ensure they are able to plan and conduct compliance reviewsWork with Compliance and Business colleagues to prepare for regulatory examsQualifications:BA/BS Read more […]
January 3, 2012
• Tags: Asset Management careers in the USA, VP Compliance Investment Advisory recruitment • Posted in: Financial • Comments Off on VP Compliance Investment Advisory recruitment