- Manage the relationship and projects between Technology and Compliance.
- Manage the relationship with the vendor Zantaz as well as communicate issues and problem solve with the vendor.
- Provide technology guidance to the Compliance Department and help ensure that Compliance technology needs are communicated effectively to the Technology Department.
- Act as the Business Continuity representative for the Compliance Department.
- Maintain the ITEC/Compliance Operating procedures which include Zantaz procedures as well as the policy on spreadsheets
- Escalate key issues that arise to the attention of Compliance Management
- Advanced experience with Actimize, Zantaz, Broadridge, and other proprietary systems
- Working knowledge of bank and broker dealer compliance systems, rules and regulations.
PRIOR WORK EXPERIENCE
- 7 plus years of IT experience in a Client / Broker Dealer Compliance environment.
- Bachelor’s degree or higher education level of experience
Linium Resources - 2 years ago