Provide support to CAPA and Commitment Leads/Owners and serve as conduit between business process owners, business lines, quality groups and governance groups to enable and promote quality.
January 20, 2020
Communicate attestation results to senior management through system upload (Archer) within corporate deadline requirements as well as to external auditors as part of the annual external audit, ensuring that all supporting documentation is provided and that relevant reports are distributed to the appropriate parties.
February 09, 2020
Demonstrated experience in working collaboratively in cross-functional and cross- divisional teams or solving cross-functional/cross-divisional issues in a manner that not only demonstrates both strategic and tactical thinking, but also in a manner that builds, maintains, and enhances a positive working relationship.
March 17, 2020
Lead the firm's periodic assessment of the risks presented by its business lines under Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and the Office of Foreign Asset Control (OFAC) rules.
April 09, 2020
Supports Governance, Risk & Compliance (GRC) tools implementation and utilization, including quantitative models.
April 24, 2020
Understanding of security principles, IT security controls, and related technologies and products experience.
May 10, 2020
Participate in corporate risk assessments including SOX and Operational Risk control self-assessments, vendor risk assessments, compliance risk assessments, monitor results and track any issues that are opened to ensure they close on the agreed closure dates.
May 23, 2020