, exchange returns, complaints handling, conflicts management, regulatory interactions, regulatory developments, audit requests... Horizon Scanning Audit Requests Responsibilities Overseeing the SM&CR framework for the firm's regulated entities...
control requirements. Ability to work with cross-functional teams, including RAC, Risk, Audit, Compliance, PPT and Front... office trade flows, identifying inefficiencies, risks, and process improvements. Support the Project Manager, RAC, PPT...
, and maintaining transactional pricing controls. The team has a strong focus on risk reduction, scalability, and growth enablement... with our dedicated Product Manager and other teams within the Finance and Treasury tribe. Your work will directly enable new product...
of written Audit reports following each audit in a clear, concise and timely manner for consideration by senior management... Authority Audit and Assurance or the Assurance Manager. Provide support to colleagues within the Team or other business units...
▪ As a manager in a First Line risk function, you will continuously identify, monitor, manage and report your risks and controls.... This role provides significant access to the Executive Committee and other senior business leaders, and exposure to the Board...
activities include those of regulators and internal audit. The candidate will interact and build relationships with senior... leaders across business, risk, and compliance, in advance of the formal submission to the regulators/internal audit...