Americas Operations & Finance Regulatory Compliance Professional

Compliance Role In Americas Operations And Finance

This non-officer Compliance role will assist in performing advisory and challenge functions across the 1st line, with a focus on Americas Operations and Finance. Key coverage areas include Equity and Fixed Income operational groups, particularly regulatory reporting obligations and other post trade execution activities. This position is readymade for someone that wants to use their technical, business, and personal skills to navigate complex business models and rules to assist the Firm achieve and maintain compliance. Development opportunities to expand current knowledge due to vast array of global businesses across a mix of institutional and wealth management businesses. Responsibilities include :

• Providing regulatory interpretation and advisory support to the institutional and wealth business, operational and technology functions with a focus on fixed income products.
• Advise on applicable processes, controls, governance, and policies, and procedures.
• Assist in responding to regulatory exams and inquiries where cross-functional collaboration is critical.
• Make recommendations to management regarding development of policies and procedures to identify and implement processing efficiencies.
• Provide back up and support to other Compliance personnel for business continuity.
• Offer regular review and challenge on new and existing regulatory requirements via the firm's testing, monitoring facilities and working alongside the compliance testing function.
• Proactive approach that flourishes in a high speed and collaborative environment.
• Broker-dealer background with a focus on operations.
• Ideally at least 4 years' relevant experience.
• Strong organizational skills with ability to prioritize and multitask.
• Ability to create and maintain relationships.
• Excellent oral and written communication skills.