Piper Sandler

Compensation

Full Description

Job Description • Manage the Electronic Communications Program which includes formulating policies procedures training and surveillance in support of books & records. • Review new technology projects vendor assessments to identify potential regulatory risks including supervisory requirements electronic communications restrictions needed policy control advice. • Participate Cyber Privacy related committees policy enhancements incident management including issue investigation managing response process remediation efforts as needed data integrity testing Supervisory reports prepared by Compliance support business line utilized by Compliance team members Regulatory capacity supervised Books Records Privacy Security Vendor Management FINOP relevant written supervisory procedures ensure adherence SEC FINRA other regulations written specified rules change business processes agreed Designated Principals update improved technologies compliance oversight reporting control structure within business systems processes liaise between departments act liaison Consultant department check innovations assist responding regulatory inquiries examinations investigations remediation efforts recommended agencies consultants audit leadership create delivery compliance training attestation enhance understanding adherence firm's policies remain vigilant following environment work closely Legal leads communicate updates necessary.