Details of the Division and Team Regulatory Control is responsible for establishing and maintaining control frameworks designed to manage regulatory, monitoring, surveillance, employee compliance, transaction monitoring and client screening.
Position Overview Regulatory Control is responsible for establishing and maintaining control frameworks designed to manage regulatory, monitoring, surveillance, employee compliance, transaction monitoring and client screening.
Work includes:
- Implementing the global or regional strategy to establish and maintain the control frameworks designed to manage regulatory, monitoring, surveillance, employee compliance, transaction monitoring and client screening
- Ensuring operational discipline combined with regulatory risk awareness & investigative skills and warrants that workflows are governed by established policies, clearly defined processes, and escalation points
- Controls, Testing & A...