What are the responsibilities and job description for the Compliance Risk Lead position at Howard-Sloan Search?
Job Description:
\The Senior Monitoring & Testing Compliance Assurance Officer will lead the compliance assurance team responsible for assessing compliance risks and controls implemented by the first and second lines of defense for Swap Dealer & Broker Dealer business lines.
\This position will oversee the design and implementation of an effective Compliance Assurance testing program to identify potential breaches of regulatory requirements and firm's compliance policies.
\The role will be responsible for monitoring and assurance reviews, reporting and escalating controls issues and any violations of laws or policy, and ensuring adequacy of remediation taken to address reported issues.
\Key Responsibilities:
\- \
- Lead the compliance assurance team in assessing compliance risks and controls \
- Design and implement an effective Compliance Assurance testing program \
- Monitor and review compliance controls to identify potential breaches \
- Report and escalate controls issues and violations of laws or policy \
- Ensure adequacy of remediation taken to address reported issues \
Requirements:
\10 years of global compliance and audit related experience and strong knowledge of business processes and IT technologies utilized in the swap-dealer business.
\Knowledge of swap dealer regulations and securities products and compliance including knowledge of CFTC, DTCC, NFA regulation.
\Knowledge of broker-dealer and securities processes and business.
