Greater Denver Area
8 months ago
Establish ongoing effective processes and controls to understand, enhance, and manage client’s compliance.
Provide guidance to the business teams on existing and upcoming regulatory requirements relating to the capital markets and digital currency markets.
Lead core documentation on compliance efforts, and ensure proper record-keeping associated with each program.
Clearly and timely communicate findings, determinations and recommendations to management and stakeholders, both at periodic intervals and as needed regarding escalated or high-risk compliance issues, in order to accomplish compliance goals.