Act as compliance liaison and compliance expert for regulatory inquiries and examinations of the firm and its affiliates; gather documents, complete questionnaires surrounding the firms business, attend meetings with various departments.
Develops the testing strategy and architecture for large projects and develops the overall IT Compliance plans and timetables. Provides guidance to staff during review and approval of IT Compliance system documentation.
Leveraging a risk-based approach and partnerships with internal security resources, identifies specific IT standards and cloud vendor best practices for which compliance should be tracked and reported.
The Compliance Officer is a member of Compliance Testing and is responsible for performing risk-based controls testing within the consumer business in order to provide senior management with comprehensive end-to-end assessments of the North America Consumer regulatory control environment as well as compliance with governing regulations and internal policies related to this business.
Perform on-going monitoring of regulatory updates and gather appropriate information and data to ensure compliance; implement changes to meet regulatory standards or address finding as a result of audits or investigations.