公司:BMO
' S: K* \9 @# b. E1 e. c1 L2 F职位:Associate Compliance Officer
$ R( L f1 F9 F/ K& j& [! {, f8 ~. U' Q
工作内容
W. C) y# F* p- G6 ^1 L% U* A· Develop, maintain and implement changes to the firm’s compliance and registration policies & procedures to ensure that the firm’s compliance program keeps pace with applicable regulatory developments. · Conduct monitoring of registration activities in accordance with the Enterprise Compliance Framework. · Identify opportunities to implement policies and procedures for greater efficiencies, cost minimization and improve service levels for business partners · Manage risk and minimize losses through monitoring and controlling firm and individual licensing requirements. · Conduct internal investigations regarding civil, criminal, financial and regulatory disclosure information is reviewed respecting a registrant’s status and background. · Provide advice and guidance to Branches, Lines of Business, HR, PCG Learning and Corporate Secretaries Offices on related registration matters. · Partner with Finance, Legal, Branches, and other departments to ensure a variety of regulatory filings are made within prescribed timelines. · Ensure operational integrity and privacy measures are maintained and safeguarded with the LOB and compliance department. - g) i. [1 u6 ?( I
想了解更多职位信息,咨询请通过微信号onlineservice168
$ I2 L( Y' B: D2 b2 J 8 r3 T! V& e! _7 G+ d0 D |
我们的在线小助手会第一时间与您联系。谢谢!/ [1 G% u O* |0 @# n$ q
& Y) ^. D v( J, S( X4 s( g
168 Consulting与诸多大型金融会计IT工程类的公司有长期的合作,也提供在线的应聘指导咨询。我们线上的导师都是各个行业内的在职精英,并有修改简历求职信,面试辅导,模拟面试,职业咨询,推荐工作的相关经验。请关注我们的公众号,将有定期的各大行业的讲座,更多的内推的机会也在等着您~
. c. B. \! I$ w$ q |