Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
ProfileCompliance Review Team Analyst - C&ORC (Compliance and Operational Risk) Duties: Assist in the planning, coordination and delivery of team's annual testing plan. Identify and evaluate the effectiveness of existing controls. Prepare detailed work papers to support the results of the testing program. Structure and propose remedial actions to address identified issues. Report identified issues to company’s senior management. Articulate an independent and balanced opinion in written and oral form. Will be working on the Compliance Review Team (CRT], a unit within Compliance and Operational Risk Control (C&ORC).
Qualification and Experience
Requirements: A university degree in finance, economics, business administration or numerical discipline with a J.D., M.B.A. or other relevant advanced degree strongly preferred. Several years of experience in the financial services industry, working knowledge of Volcker rules. In-house audit at a financial institution or examination experience at a financial industry regulator. Knowledge of U.S. securities laws & regulations as well as SRO rules.
Job Reference # 151399BR.