Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries.
The role of Compliance within Private Wealth Management (“PWM”) is to partner with the business in order to conduct and supervise its business in line with regulations and firm policies, help to reduce the firm’s regulatory and reputation risk, and reinforce the firm’s culture of compliance.
Job Summary & Responsibilities
PWM Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes. The Global Projects team is at the forefront of new business initiatives for PWM and the Wealth Management division more broadly. We are looking for a team member who wants to be part of growing the business in new dimensions – someone who is equal part visionary and executor. Many times, the role will require you to navigate and problem solve with multiple teams and stakeholders.
As a contributor to the Global Projects Team within PWM Compliance, a successful candidate will be responsible for supporting and organizing Compliance’s involvement in various multi-year projects as well as being the key Compliance contact for working groups and developing subject matter expertise in regulations applicable to the business. Additionally, the role will involve working in collaboration with the broader compliance team to deliver day to day advisory functions including but not limited to: conducting due diligence reviews, performing gap analyses, as well as leading forensics for ongoing projects.
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