In this role, you will successfully execute on assignments within business units to ensure that the standards and requirements set forth by regulatory agencies and the firm are being maintained by financial advisors, including performing reviews in supervision, surveillance, and the financial intelligence unit.
In this role, you will direct and perform Cloud and virtual environment security and information systems engineering analysis for testing. Support assessing, evaluating, integrating, and enforcing requirements of Cybersecurity or IA products and tools to coordinate assessment and acquisition.
The Enterprise Area of Coverage (EAC) Compliance Analyst, under close supervision, assists a team responsible for providing enterprise wide coverage of specific laws, rules, regulations, and regulatory guidance, such as those related to SCRA (Service Member Civil Relief Act), Privacy and Registration and Licensing.
Develop, enhance, deploy, and report testing in accordance with the monitoring and testing program ensuring effective processes and controls are in place to support the current product and customer risk profile.