Strategy & Advisory
Establish strategy and governance frameworks for risk management and compliance, and develop processes for internal audit, risk management, compliance and business controls
Regulatory Change Program Management
Interpret rules, assess impacts, conduct regulatory validation, gather business requirements, and design and implement solutions for projects, such as:
Dodd-Frank Wall Street Reform and Consumer Protection Act
Data Privacy, Protection and Cross Border Requirements, e.g. General Data Protection Regulation (GDPR)
Consolidated Audit Trail (CAT)
Fundamental review of the trading book (FRTB)
Regulatory & Compliance Training
Evaluate and provide training in SEC, FINRA, and Dodd-Frank regulatory reform best practices