Conduct compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks.
Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing and Line-of-Business compliance management. Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance.
Escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary.
Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period. Review all banking-related reports prior to vetting the report with other stakeholders.
Ensure that all findings and recommendations are entered into Compliance Testing's Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution.
Meet with senior management in Compliance, the business and other control functions to provide overview of significant risks and control gaps.
Assist the team in drafting periodic reports to senior management and regulators, as well as in various other ad hoc projects.