Job Description
Description
Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices. Develops ability to constructively challenge conclusions/status quo.Supports key business initiatives by analyzing data to identify compliance risks. Assists in providing resolutions to manage and mitigate the identified risks. If necessary, escalates identified risks to senior team members. Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives.Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified. Researches current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.Manages the compliance monitoring program and reviews activity to ensure it falls within established...
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