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Compliance, Compliance Testing Group, Investment... document results. Identify potential compliance, conduct and reputational risks,... strong communication skills to interact with Compliance and business senior management.... Team with colleagues... around the globe to share findings and refine processes. Meet tight deadlines....
Compliance, Control Room, Senior Analyst/Associate
Responsibilities: Interacting... Research Division to ensure compliance with certain legal and... and other areas of Compliance in order to monitor... and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy...