Develop and manage reporting mechanisms to aggregate information gleaned from all risk analysis sources in order to identify and evaluate compliance risk trends; share with Compliance business line managers and stakeholders, and provide consultation on mitigation/resolution.
Assist in formulating regulatory policies and procedures to be followed by company personnel in compliance with local, state, and federal regulations through the development of Franchise documents and Standard Operating Procedures.
Ensures education and tracking of financial advisors and other supervisors by coordinating annual compliance meetings, required Firm courses and regulatory requirements. Conducts regulatory-reguired annual financial advisor compliance interviews/audits.
In this role, you will responsible for interface with third party legal consultants including research and regulatory analysis in order to monitor company compliance with regulations and support business operations.
The Enterprise Security Services (ESS) Audit and Compliance Manager will perform a critical role with oversight to a number of programs within ESS. This will include SOX related activities assistance in audit response and remediation activities and communication to the Line of Business as the programs and processes change.
Responsible for developing, strengthening, and implementing the Line of Business compliance program in compliance with existing laws and regulations, including governance, policies and procedures, monitoring, reporting, communications, and education.