Contributes to the overall success of the Compliance Department in the U.S. and in some respects, globally supporting specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted follow governing regulations, internal policies and procedures. […]
• Leadership: Leads a team of Senior Analysts in the execution of reviews of E-comms and V-comms on a variety of topics to identify unusual activity or potential violations of rules or firm policies, ensuring they are conducted expertly, professionally...