Our client, a leading corporate bank, is looking for a VP, Senior Manager - Compliance to join their Broker Dealer team.
Senior Manager - Compliance
Summary:
The Senior Manager - Compliance is responsible for the CMS-Program within their Division. They are considered the Compliance expert within their area of responsibility. It has direct accountability for ensuring compliance within their purview. This includes responsibility for Third Party Compliance, including Control Testing strategy and implementation, day-to-day oversight, and remediation of third-party Compliance-related issues.
Position Responsibilities
Manage Regulatory Compliance