In this position, you will oversee existing environmental personnel / staff for implementation of various environmental programs, including the implementation and the sustainability of facility environmental management systems (ISO 14001 systems).
The Associate Quality Systems Specialist provides oversight of Quality Management System (QMS) implementation and use. The main objective is to ensure good health of the system through the monitoring of process performance, reviewing records, reporting metrics, and leading or participating continuous improvement initiatives.
The candidate will interact daily with investment banking, capital markets, global markets, research, and other LOB's and supporting groups. Additionally, close interaction with other Global Control Room staff as well as with product counsel and compliance is required.
In this role, you will be responsible for
providing enterprise wide oversight of specific laws, rules, regulations, and regulatory guidance, such as those related to Regulation W and/or Regulations B, D, U, X, through the identification, escalation and timely mitigation of compliance risks in alignment with the Compliance Risk Management (CRM) Program and the Global Compliance Enterprise Policy (GC Policy).
In this role, the selected candidate will ensure that all activities related to the investigation and resolutions of non-conformities are performed in a timely manner and in compliance with company procedures and regulatory requirements.
In this role, the selected candidate will be responsible for coordinating and performing all pre-delegation and annual due diligence audits and monitoring of delegated activities to ensure compliance with National Committee for Quality Assurance (NCQA), URAC, contractual agreements, and State and Federal requirements.
Maintain and proactively develop an understanding of State, Federal and Self-Regulatory Organization (SRO) regulations and laws as well as
internal processes used to ensure compliance with those regulations and laws determined to be applicable to the business unit.