Associate, Compliance & Control II

Under direct supervision, contributes to the compliance efforts of the assigned business unit. Helps with assessment activities to ensure the business units are in compliance with standard regulatory and policy requirements,, reviews work for accuracy with more experienced professionals. May assist with drafting of documentation when control changes are made. Under direct supervision, analyzes existing legislation, regulatory announcements and industry practices in order to report on the assigned business' current state of compliance. As needed, assists with projects and program tasks intended to improve compliance and enhance the control environment. Assists with analyses of control processes to ensure they are in compliance with all applicable laws, rules and regulations. Begins to build working relationships with business unit managers in order to facilitate the timely delivery of information and increase the likelihood of favorable conditions for compliance activities. With dir...