Responsibilities:
- Project manager for a Regulatory Control Review and remediation initiative for Global Banking operating through a registered Broker-Dealer, Futures Commission Merchant, and Swap Dealer.
- Assess regulatory requirements/obligations based on the relevant rules and regulations governing Global lines of business; addressing applicability, controls environment, and inherent / residual regulatory compliance risks.
- Execute a Compliance Risk Management operating model in support of the Global risk profile, encompassing external and internal risk events (i.e., regulatory updates, regulatory exams and findings, enforcement actions, audit findings, etc.), control identification, remediation, and maintenance.
- Participate in the design of the risk based approach for periodic compliance risk re-assessment, review and compliance detailed self-assessment testing of the control environment, based on the adopted risk methodology for SEC, CFTC, and NFA regulations.
- Respond to NFA concerns managed remediation efforts of DFA Title VII & Volcker Risk Management Program and its associated obligations.
- Manage program integration with the firm adopted operational risk management program while transitioning the program to a business as usual state (BAU)