Compliance Counsel Ii, Firm Program Support Counsel Jobs in Missouri - 168785 | Submit Resume | General Counsel Consulting
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Melinda Burrows
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Compliance Counsel Ii, Firm Program Support
Refer job# MPTY168785
 
Compliance Counsel II, Firm Program Support The candidate will partner closely with internal business areas to provide timely advice and guidance to ensure strategic initiatives and the firm's conflict management processes are compliant with applicable laws, regulations, and internal policies and procedures. Remain informed of new and existing regulations and evaluate potential impacts to the firm. Identify firm-level trends and patterns that may be of concern and work with the business areas to implement corrective solutions. Represent the Compliance Division on cross-divisional strategies and projects which requires an in-depth knowledge of industry processes and procedures as well as project management skills. Investigate process gaps and negative findings discovered through oversight reviews and/or regulatory inquiries, identify corrective measures and monitor remediation of findings. Integrate regulatory and compliance requirements into all procedures, processes, products, services and systems. Draft and maintain disclosures and agreements and assist in creating training content, education materials and communications related to the firm's business practices and potential conflicts of interest.
 
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