What are the responsibilities and job description for the Monitoring Assurance Officer position at Howard-Sloan Search?
Job Overview:
\We are seeking a highly experienced Monitoring Assurance Officer to lead our compliance assurance team.
\The ideal candidate will have 10 years of global compliance and audit related experience and strong knowledge of business processes and IT technologies utilized in the swap-dealer business.
\The role will involve overseeing the design and implementation of an effective Compliance Assurance testing program and monitoring and assurance reviews to identify potential breaches of regulatory requirements and firm's compliance policies.
\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 \
Skills and Qualifications:
\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.
