Purpose

Contributes to the success of the execution of the Global Communications Supervision Procedures on behalf of GBM Internal Controls to ensure compliance with the Code of Conduct, internal policies & procedures, Global FX Code, industry standards and applicable regulatory requirements. Ensures all activities are conducted in compliance with governing regulations, internal policies, and procedures.

Accountabilities

• Customer Focused Culture: Champions a customer-focused culture and leverages broader Bank relationships, systems and knowledge.
• Global Communications Supervision: Executes GBM Communication Supervision Procedures, reviews flagged alerts for, among other things, identify potential non-compliant behaviors and lack of compliance with Bank policies. This includes:
  • Performing review, assessment, disposition and documentation of alert reviews in accordance with GBM Communication Supervision Procedures and standard times.