The Compliance Control Group (CCG) provide leadership and support for broad-based employee related disclosure and reporting obligations pursuant to the Firm's Code of Business Conduct and Ethics, Compliance Manual and relevant SRO, SEC and other governmental entity regulations. CCG reviews employee account trading and other activities for consistency with firm policy and regulatory rules and performs additional responsibilities related to the Firm's Code of Conduct.
In this role, the selected candidate will be responsible for overseeing daily Overnight Compliance on internally and externally managed separate accounts, and addressing any violations in a timely manner.
In this role, you will maintain the master certificate of insurance listing for third party sites by each company Account to include; tracking of expiration dates, issue dates and statuses; Rejected/Not Submitted/Accepted.
In this role, the selected candidate will create and manage virtual files related to investigations in the case management system and follow-up with relevant parties to ensure completion of cases within required timeframes.
In this role, the selected candidate will coordinate the preparation and scheduling processes required prior to scheduling a review by an independent third party; work closely with the independent third party during the review/audit process to ensure the efforts are completed in an efficient and professional manner.
In this role, the selected candidate will identify potential areas of compliance vulnerability and risk; develop corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
This role is important to confirm that key compliance-related business line controls are effective to mitigate compliance risk across applicable real estate secured and non-real estate products and activities.
In this role, the selected candidate will implement program(s) for compliance and privacy in all departments with a focus on the growing direct care delivery component of the business, an integrated model where the financing of health related expense and the delivery of the related care are under the auspices of one organization.
In this role, the selected candidate assesses internal control performance, identifies weaknesses, and provides recommendations to strengthen the control environment; assists in ensuring consistency in the testing process and reporting of results.