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Compliance Consultant 3
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- Wealth and Investment Management (WIM) is one of the company's four main divisions.
- Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.
- Collectively, they provide clients with a broad array of investment options across all major asset classes, including actively managed equity, fixed-income, liquidity, s value, and alternative investments.
- WIM Testing & Validation (T&V) is seeking an experienced compliance or audit professional to join the WIM T&V Team. The Compliance Consultant 3 role will be responsible for control testing to ensure compliance with regulatory requirements and corporate policies applicable to WFAM, including compliance with the Regulatory Compliance Risk Management Policy and Procedures as well as the Operational Risk and Compliance Testing and Validation Standards.
- Finally, the position must coordinate/leverage certain responsibilities and best practices with other WFAM departments (i.e. WFAM Compliance, Operational Risk) as well as other WIM compliance programs (i.e. WFA, Retirement).
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