Project Manager

• The firm entered settlements with the SEC and CFTC to resolve an industry-wide investigation into multiple financial institutions for the failure to maintain and preserve electronic communications as required by law, including the Securities and Exchange Act of 1934.
• The firm is executing an enterprise-wide remediation strategy to address the concerns which includes the retention of an Independent Compliance Consultant (ICC) to complete a comprehensive evaluation of its electronic communications environment, including a review of remedial actions to date.
• Will be directly tied to fulfilling the requirements of the SEC and CTFC settlements.
• Supporting the remediation program to help drive program remediation tasks such as: issue management, program oversight, program reporting (Regulatory, Internal, Audit Committee), talking points and support for Independent Compliance Consultant (ICC) and Audit requests.
• Provide QA support for program check and challenge of artifacts and documentation prior to submission to IA and milestone closure, development of process flows, management of the remediation program administrative duties, including progress reporting, the SharePoint site, creation of MCA, and other BAU program governance activities.
• Support is needed with these activities to assist the Remediation Program Manager to allow for the proper management, focus, and credible challenge of the remediation program for timely completion of the Consent Orders.

Last updated on Oct 30, 2023