Senior Manager Compliance - Market Conduct

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Senior Manager, Compliance - Market Conduct
Responsibilities: Lead response to external audits and enforcement actions by developing and deploying reproducible tools, techniques, and templates – including, for any onsite audit, leading mock interviews, presentations, and follow-up activities. Develop a calendar, archive, and attestation system – or other tools – to ensure that departments are aware of their audit and reporting obligations, held accountable for production of validated deliverables, and kept informed on each audit or report’s progress and status. Coordinate and organize interactions with those regulators that require periodic general touch-points. Determine when a regulatory self-disclosure is warranted and, if so, work with the Legal team to make and follow up on such self-disclosure. Establish protocols for relaying instances of identified noncompliance and any supporting detail to the Corporate Compliance team for remediation, and for relaying remedial activities to regulators.

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