Compliance, Financial Crime Core Compliance, Analyst, Singapore
Global Compliance 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 defense, 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. Job Summary & Responsibilities
The Core Compliance team within the Financial Crime Compliance Group is seeking an associate professional, ideally with prior brokerage and/or other financial industry experience. The associate will support implementation and maintenance of our integrated regulatory compliance program, including: EMEA legal entity risk assessments, EMEA governance schedule, regulatory new monitoring, regional new activity reviews, training, issue escalation and implementation of new regulations.
The ideal candidate would have strong analytical, communication and writing skills, the ability to collaborate with others, manage projects and processes, as well as prioritize and balance a heavy workload. In this role, the associate would be expected to quickly gain an understanding of the firm's businesses in conjunction with the rules and regulations under which the firm operates. Principal Responsibilities
- Support EMEA legal entity AML risk assessment
- Coordinate regulatory enquiries and exams including regulatory questionnaires
- Prepare governance arrangement including committee and board presentations
- Support EMEA legal entity policy and procedure maintenance
- Act as regional office liaison lead to certain regional entities
- Support future regulatory implementation and policy development
- Strong academic record with Bachelor's degree or equivalent required
- Prior investment banking/financial services industry experience and knowledge of securities industry and products
- Prior compliance experience and a technical understanding of applicable AML and Sanctions regulations
- Experience of using data analytics tools and knowledge of structured query language required Ability to work both independently and in team-oriented workflows
- Ability to manage expectations of key stakeholders
- Strong analytical and risk assessment skills
- Excellent written and verbal communication skills
- Ability to prioritize work flows and ensure deadlines are met
- Ability to forge strong relationships with colleagues and clients
- Proactive, self-motivated, detail-oriented and well-organized
- Compliance or legal-related experience in financial services preferred
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