Compliance, CF&O Compliance

BUSINESS UNIT AND ROLE OVERVIEW

CF&O Compliance provides compliance coverage to the Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Finance, Office of the CAO, Finance Planning and Analysis, Risk, Tax and Human Capital Management divisions. This includes:

Conducting risk identification, measurement and assessment

Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues

Participating in firm responses to regulatory examinations, audits and inquiries

Performing surveillance and investigations of business activities of the above referenced groups

Testing the effectiveness of controls

Writing policies and procedures

Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiatives