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GCO Controls Monitoring And Testing Manager - Wholesale
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- Perform compliance monitoring indicator (CMI) activities.
- Partner with first and second line defense teammates across assigned business areas in identifying, escalating and in remediating risk control gaps to ensure compliance with Enterprise Risk Management programs and policy.
- Financial Risk Manager (FRM)/Certified Financial Analyst (CFA) or equivalent advanced risk certification
- Experience in the financial services industry, Wealth Management, Corporate Investment Banking, Commercial Banking, Commercial Real Estate, and/or Lending
- Understanding of the Registered Investment Advisor (RIA) industry and GIPS standards; FINRA licenses
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