Compliance Advisory AVP
Core
Provide Compliance Advisory services to the business, handling audit/investigation requests from Exchanges and Regulators, FATCA/CRS audits, and financial regulatory research.
Role type
Senior IC compliance advisory professional
Builds
Compliance advisory services and regulatory audit reports
Domain
Financial services / Regulatory compliance
Deliverable
client delivery
Required skills
Regulatory audit, FATCA/CRS compliance, MiFIR transaction reporting, financial regulatory research, investigation management
Preferred skills
Compliance Advisory experience
Technologies
FATCA, CRS, MiFIR
Responsibilities
Review and audit investigation requests from Exchanges and Regulators; Conduct FATCA and CRS audits and advisory; Research financial regulatory developments; Monitor and solve problems regarding MiFIR transaction reporting
