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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - Securities and Capital Markets
Min 4 yrs required
Associate, Business Controls Testing The candidate executes on testing activities consistent with the documented Assurance and Testing Framework within First Line of Defense. Works collaboratively with the Director, other testing associates, Business Unit Compliance Officers, second line partners and lines of Business to execute testing of Compliance related controls. Communicate findings to the control owners identify opportunities for improvement and ensure the continued operation of effective controls which ensure continued Compliance and Risk Management. Planning, Management, Execution and Oversight. Assist the Director in the development, planning, and management of AML and Business Unit Compliance Testing Programs and reviews, as well as other ongoing AML and Business Unit Compliance Assessments. Update the annual testing plan, in conjunction with Business Unit Compliance officers and other LOBs. Work collaboratively within a team of compliance testing officers at various levels from associates to VPs. Establish a professional relationship with internal and external stakeholders and proactively represent First Line Testing Program. Collaborate with other subject matter experts on the identification of risks and integration of legal/ regulatory Compliance and AML compliance requirements. Under the guidance of the Director, advise and oversee the development of corrective actions as needed for regulatory related to issues surfaced during compliance testing, internal audit reviews and/ or audits by outside regulators. Provide AML and Business Unit regulatory control program information to support the issuance of cycled managed attestations. Execute on defined testing protocols and processes. Establish timelines to complete required testing, including the development of an on-site plan, execution of testing processes and the communication of results. Keep the Director and other stakeholders informed of significant AML and Business Unit matters including identified issues and improvement opportunities. Ensure all compliance testing issues are tracked and resolved in a timely manner. Analyze AML and Business Unit Compliance Test results to identify trends and areas of emerging risks and communicate analysis to internal stakeholder to ensure consistency in approach to monitoring and addressing AML and emerging regulatory compliance risks. Provide information to determine repeat offenders and identify patterns of problematic activity across Capital Markets’ Lines of Businesses, products and regions.
Qualification and Experience
The candidate must have 4+ years of relevant experience preferably in Capital Markets. Should preferably have Advanced educational degree and JD / MBA degree. Knowledge of Trading Products regulations. Investment Banking and Corporate Banking is a plus. Solid knowledge of the Broker Dealer and Banking Regulations, which include but not limited to SEC, FINRA, OCC, FRB, CFTC, IIROC, OSFI etc is needed. Deadline: 08/12/17
Ref: 1700013197
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