Kathryn Grochan
Head, Group Conduct and Compliance Risk & CCIB Assurance
- Role
- Head of Group Compliance & Conduct Assurance at Standard Chartered
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Kathryn Grochan
Lead Compliance Assurance Team through risk-based regulatory reviews that assess the design and operating effectiveness of the controls designed to mitigate the risk of non-compliance with applicable banking and securities regulations, internal standards and conduct related risks. Responsible for Group Conduct and Compliance Risk Assurance Reviews and point of contact for CCIB BusinessesSeries 7, 63, 24, 14
Experience
Head of Group Compliance & Conduct Assurance
Sep 2014 — Present · New York, NY, US
Lead the Compliance Review team responsible for Group Compliance & Conduct Risk & CCIB business unit in the execution of deep dive compliance reviews to meet regulatory obligations for independent, second line testing. Business coverage includes global banking and financial markets, transaction banking and corporate banking
Education
New York University
Bachelor of Arts (BA)
Skills
- Internal Controls
- Capital Markets
- Series 7
- Inspection
- Series 63
- Securities Regulation
- Securities
- Series 24
- Banking
- Risk Management
- Financial Services
- Fixed Income
- Finra
- Equities
- Financial Risk
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.