- Review and Oversight of Controls
- Review of surveillance exceptions with Business Personnel and Compliance Officers.
- Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
- Oversight of exception reviews generated by detective controls.
- Identify enhancements to existing controls.
- Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
- Participate in periodic risk assessments. Development of Controls
- Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
- Apply a consistent approach across businesses, products and regions.
- Develop associated functional specifications and testing scripts.
- Develop and/or enhance systematic processes for escalating issues.
- Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
- Coordinate issues, findings and practices with colleagues across regions and/or divisions.
- Generation of management reports / Management information Systems.
- Reporting of exception reviews generated by detective controls.
Didn’t find the job appropriate? Report this Job