Compliance Risk Assessments

  • Base + Competitive Bonus + Benefits
  • Manhattan, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 29 Sep 16

Test different business lines to conduct firm's annual risk assessment.

 The role is responsible for developing an annual plan, executing compliance testing, tracking action items and ultimately drafting and issues reports  for (Treasury, Controllers, Network Management, Human Resources, Systems, Office of the General Counsel, Compliance, Internal Audit, Enterprise Services, International Risk Analytics Administration and Enterprise Risk Management).    S/he will also help drive efficiencies as they relate to the overall Compliance Monitoring Program (“CMP”) which includes, CMP Policies and Procedures, Compliance Risk Assessment (“CRA”) process, CMP Metrics, CMP issue tracking and reporting, CMP testing program, CMP coordination and training. 

The individual’s remaining time will be spent monitoring for any legal and regulatory developments that may impact business and/or any special projects

The individual will be required to act autonomously with moderate management oversight.