What are the responsibilities and job description for the Senior Compliance Officer - Issues Management Program & Reporting position at Madison-Davis, LLC?
Investment bank located in Midtown Manhattan looking to bring on board a “Senior Compliance Officer - Issues Management ” to join their team. This role is currently in a hybrid schedule (2 days in office / week).
Responsibilities:
• Facilitate the US Issues Management process, to include Issue logging, reporting, and escalations using our internal issues management tool.
• Maintain the new Issues Management dashboard, which is intended to provide insights into ongoing Issues statuses, trends and themes, and escalations.
• Manage the reporting deliverables related to Compliance-tracked Issues and ensure timely reminders and tracking of issues to closure.
• Work with Central Issues Management team to remediate any issues identified during QA.
• Participate in UAT testing for new program / system implementations or enhancements to the Issue Management system.
• Partner with Compliance teams to aid with Issue entry and workflow.
• Develop the team SharePoint to serve as a robust Knowledge Management platform and source.
• Support documentation efforts across the Team to drive consistency of materials and the maintenance of up-to-date policies and procedures.
Salary : $100,000 - $140,000
