Overview

Principal Responsibilities:

  • Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
  • Taking ownership of processes and controls of the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
  • Provide guidance to internal clients on appropriate interpretation and application of policies/procedures
  • Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
  • Work with regional compliance in ongoing projects, responding to changes in the firm’s businesses and changes in regulation
  • Take ownership and provide feedback on reports, creating checklists in supporting team to resolve exceptions
  • Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology
  • Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
  • Communicate findings to compliance colleagues and suggest potential corrective actions to address issues
  • Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation

Experience / Skills / Systems Requirements:

  • Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
  • Organized, detail-oriented, enthusiastic and professional with a strong work ethic; and Managing and implementing regulatory change
  • Ability to forge strong relationships with colleagues and clients
  • Strong analytical and risk assessment skills
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Proactive, self-motivated and organized
  • Ability to prioritize and make decisions in a fast paced-environment
  • Good judgment – know when and how to escalate issues
  • Inquisitive and investigative skills
  • Good understanding of the fundamentals of the financial industry
  • 5+ years’ experience in financial, legal, accounting or regulatory areas is preferred

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