Regulatory Oversight Management - IC1Resides in the business and supports management in the day-to-day efforts related to first line of defense regulatory oversight management with laws, rules, regulations and related policies. Performs research and analyzes relevant information and transactions that warrant further investigation. Communicates with internal and external parties as needed and makes recommendations on necessary procedural/control changes on regulatory oversight management matters. This position requires knowledge of the Financial Services Industry regulations, compliance, operations or auditing. Strong oral and written communication skills and the ability to implement compliance policies and procedures.Verify practices against straightforward policies, with moderate supervision.Document findings for management reports .Gathers data and prepares materials for more senior team members to counsel business personnel on first line of defense compliance with policies.No direct reports.Contributes to the achievement of team objectives. Works on projects of limited size and levels of complexity.
Bachelors degree or the equivalent combination of education and experience is required. Advanced/graduate degree preferred. 0-3 years of total work experience preferred.