Broker Dealer Financial Control Analyst

Job description

Job Description Purpose of the role: To identify, assess and mitigate prudential regulatory reporting risks, provide oversight on regulatory reporting, and maintenance of open communication with regulators to ensure that the bank's activities and operations comply with all applicable laws, regulations, and internal control policies. Accountabilities: - Identification and assessment of prudential regulatory reporting risks arising from the bank's activities, products, and services. Development and implementation of strategies to mitigate prudential regulatory reporting risks, ensuring compliance with all applicable laws, regulations, and internal control policies, and conduct regular compliance reviews and audits to identify and address potential compliance gaps or violations. - Assessment of the effectiveness of the bank’s internal control processes and governance framework, including addressing any weaknesses or gaps that could lead to regulatory reporting non-compliance, and implementation of measures to strengthen internal controls. - Preparation and submission of regulatory reports to authorities, and provision of support to other departments in their preparation and review of...