Specialist - Compliance

Assist in implementing the compliance program by auditing existing policies and practices, identifying risks and weaknesses, and supporting various departments/affiliates. Help enhance compliance through internal controls, awareness communications, and trainings. Support drafting and auditing policies and procedures, conduct vendor audits, and follow up on third-party and partner onboarding processes. Investigate compliance matters, create action plans for findings, and screen customers using a third-party tool.