Global Compliance, Associate, Oversight, Monitoring and Testing

Job Summary

Were seeking someone to join our team as a Associate in the Legal and Compliance division.

In the Legal Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firms management of legal, regulatory and franchise risk. This is a Associate level position within the Oversight, Monitoring and Testing.

Responsibilities

• Review and analyze trade surveillance reports across asset classes like equities, derivatives, fixed income and commodities to escalate any regulatory and policy breach identified as part of the review
• Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary
• Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate
• Assist in finding trends and patterns of high-risk clients/ traders, by analyzing their trading activities
• Creating and Presenting Management Information Packs on a periodic basis
• Assist in identifying any coverage gaps, quality issues to help improve program effectiveness
• Support tuning and optimization efforts to help create efficiencies
• Assisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controls
• Support regulatory inquiries, regulatory inspections, internal audits by providing requested data / addressing respective queries
• Assist in the delivery of surveillance related projects or initiatives

Interaction with IT

• Work with IT and / or vendors in enhancing/ developing new tools.
• Participate in testing/ requirement drafting of new models/reports.

What youll bring to the role:

• Industry qualifications i.e. Post Graduate / MBA in Finance / CFA or similar
• Excellent communication skills: able to communicate complex scenarios and concepts clearly, concisely and effectively, both verbally and in writing, to stakeholders across all levels.
• Strong analytical skills; experience of handling, analyzing and presenting large data sets to identify exceptions or anomalies
• Proven ability to develop rapport and promote effective 2-way communication with colleagues in global offices, fostering trust and an environment which supports development and constructive feedback.
• Problem solving abilities with capability to independently work under pressure.
• Understanding the implications of risk involved.
• Experience interpreting laws or regulations
• Knowledge / Use of analytical tools like Tableau/SQL to query large data sets
• Understanding of new technologies like Machine Learning, AI, etc.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.