Senior Attorney Compliance

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Senior Attorney, Compliance
The candidate under the general direction of ECO management, assist in the creation, planning, prioritization, and implementation of strategies for building company’s overall Compliance Program, to include development of various aspects of the program over time as the program evolves, including enterprise compliance, risk assessment and testing, policies, procedures and training, ad-hoc legal and compliance issues, and regulatory change management, among others. Assist in the design, promotion and implementation of policies and procedures across the operating departments, as well as quality assurance testing of these policies and procedures. Assist in the design and implementation of both enterprise-wide and targeted training regarding legal and compliance topics based on trends across the company and SROs generally. Together with ECO management, respond to legal and compliance issues that are escalated to the ECO and logs interactions in accordance with Office procedures. Evaluate and provide interpretive guidance to employees regarding regulatory compliance issues. Draft compliance-related guidance materials. Conduct comprehensive legal and compliance research and reviews into matters of regulatory policy and compliance as necessary to, among other things (1) develop compliance plans, and (2) respond to compliance issues and concerns. Supports ECO management in developing guidance materials, works closely with senior and mid-level managers in the regulatory departments regarding compliance procedures, evaluating inquiries and providing guidance to regulatory departments regarding regulatory compliance. Perform data entry to capture critical information supporting ECO’s programs; and analyze data to make recommendations ECO’s program. Provide support for ECO management on the drafting of reports to the CCO, the Office of the Chief Legal Officer, the Office of the CEO, senior management committees and the Audit Committee of the Board of Governors on company’s annual compliance priorities and the effectiveness of company’s compliance program. Participates in, and organizes documentation for, responses to internal and external requests. Works closely with other ECO team members on all activities associated with the compliance programs, as directed by the ECO management team. Assist in other legal and compliance initiatives, as needed. Draft communications for ECO. Participate in ad hoc special projects and initiatives, as requested.

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