Job Description
**Responsibilities**:- Responsible for ensuring that all of the firm's activities follow the necessary rules and regulations, and that the firm complies with legal/regulatory boundaries and jurisdictions.
- Focuses on resolution of complex problems or transactions, where expertise is required to interpret against policies, guidelines or processes.
- Facilitates ownership for one or more processes, reports, procedures or products, and may also be considered analytical or procedural experts representing a unit or team on cross-function process or project deliverables.
- Provides legal guidance and counsel related to securities and banking regulatory matters- Maintains relationships with regulatory bodies and agencies and has significant expertise in industry regulatory matters- Coordinates and conducts the assessment of internal controls to ensure compliance as required by regulatory commissions/authorities- Prepares and sponsors testimony to governmental or regulatory age...