Job Description
Responsibilities
Identify key data elements and create and maintain data lineage maps by collaborating with technical and business stakeholders.Create and maintain data policies and procedures and develop compliance solutions that satisfy relevant broker-dealer regulations.Create source-to-destination data maps for AML reports and systems.Support the buildout and management of the data catalog, business glossaries, and the associated metadata that serve as the enterprise repository for understanding and governing information across the organization.Design periodic and ad hoc supervisory reports and complete associated reviews.Implement internal control enhancements and appropriately triage potential compliance matters.Assist and coordinate responses to regulatory inquiries from US and global regulators.Draft and implement controls and perform control testing.Research and write policies and procedures.
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