ENDED
- Link: Compliance Analyst from TradeStation Securities
- Dates: All year 2020.
- Job location: Chicago, USA.
- Job description: Review and analyze internal and external reports for exceptions to ensure compliance with applicable laws and regulations. Develop and execute issue and risk-based tests to validate execution of control activity remediation actions. Conduct compliance reviews. Execute control reporting to monitor for potential breaks. Negotiate solutions and act as a liaison with internal and external clients. Develop comprehensive methods for gathering critical control testing evidence to evaluate risk more effectively. Maintain records to meet compliance requirements.
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