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Compliance

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Definition:
Compliance is an audit with comprehensive review of an organization's adherence to regulatory guidelines. Independent accounting, security or IT consultants evaluate the strength and thoroughness of compliance preparations. Auditors review security polices, user access controls and risk management procedures over the course of a compliance audit. SOX was enacted to protect shareholders and the general public from accounting errors and fraudulent practices in the enterprise.

Related Concepts:

AML
Control Room
Margin System
Price Master
Security Master
 

Available Positions Related to Compliance:

Asset & Investment Management jobs

Financial Services Operations jobs

Securities Trading & Brokerage jobs

 

Relevant Functional Areas:

Asset Management
Audit
Brokerage Operations
Internal Control
Legal
Market Data
Risk Management
Securities Trading & Brokerage
 

Related Job Titles:

Account Reference Data
Cash Management
Compliance Officer
Corporate Actions
Credit Risk
Internal Audit
Regulatory Accountant