Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defence, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. RESPONSIBILITIES AND QUALIFICATIONS Business Supported: Global Investment Research Division (GIR).
From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, mining big data that enters markets around the world each day to identify game-changing insights. HOW YOU WILL FULFILL YOUR POTENTIAL
Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with research analysts, are essential attributes of all group members. Because the role requires substantive interaction with research analysts and advising on rules and laws impacting research, candidates with regulatory, compliance, legal or other investigatory experience, who can function in a compliance or legal arena, are being sought. Work with global team members located in New York, Singapore, Sydney, Tokyo, Shanghai, Bengaluru, and London.
SKILLS AND EXPERIENCE WE ARE LOOKING FOR PREFERRED QUALIFICATIONS
- Advisory and Compliance Oversight. Providing advice to the business, including senior management, on regulatory and reputational related matters, and acting as a resource on a daily basis for compliance and policy issues.
- Policies and Procedures. Ensuring that the division has appropriate policies and procedures in place. Assessing, designing and driving completion of necessary upgrades, updates and new policies. Working closely with Legal and the business to fulfill requirements.
- Regulatory Matters. Helping to manage the division's responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR.
- Training. Designing, executing and delivering live and online training on divisional policies and procedures.
- Controls/Surveillance/Testing. Creating controls, roll out surveillance and monitoring of policies and procedures.
- Legal / Regulatory background
- Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
- Quick learner who can adapt well to a fluid regulatory and business environment
- Ability to handle multiple tasks simultaneously, and to work effectively in a team
- Organized, detail-oriented, enthusiastic and professional