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Banking & Research Compliance and Control Room - Associate
mid · Risk & Compliance
Protecting market integrity and safeguarding our business starts with strong controls and clear guidance. You’ll join a team that provides independent guidance and oversight to the Global Banking and Research lines of business and helps maintain the integrity of information barriers and supports responsible business activity. You’ll build expertise at the intersection of investment and corporate banking and research while partnering with stakeholders across the region and globally. We’ll support your growth through exposure to complex, time-sensitive matters and continuous learning. Your judgment and attention to detail will help reduce risk and strengthen trust.
As a Global Banking & Research Compliance and Control Room Compliance Officer (Associate) within Compliance, Conduct and Operational Risk, you will provide advice and guidance to internal stakeholders, develop compliance policies to meet regulatory requirements, review business initiatives, help maintain effective information barriers, manage non-public information risk and manage conflicts. You will support the review of investment banking transactions and research activity from a compliance and operational risk perspective.. The team partners across regions to strengthen consistency, continuous improvement, and practical risk management.
Job responsibilities
- Provide advice and guidance to investment banking, corporate banking and research on transactions, regulatory requirements and new products and services
- Develop compliance policies and frameworks to manage regulatory risk
- Maintain and monitor the firm's information barriers / barrier crossings / flow of non-public information
- Interact with the Banking, Sales and Trading, and Asset Management teams to ensure the Firm’s Watch and Restricted lists are properly maintained
- Review Research publications to ensure compliance with legal and regulatory obligations
- Engage with regulators and participate in the conduct of internal and external enquiries and investigations as necessary
- Provide training to various businesses on risk topics, compliance policies and other specific areas of expertise
Required qualifications, capabilities, and skills
- Minimum 3 years of experience in Compliance, Risk, or related controls function
- Strong attention to detail with an analytical approach to problem solving
- Ability to meet tight deadlines, prioritize and to make quick and reasoned decisions under pressure
- Strong interpersonal skills with a highly motivated and organized approach to work
- Ability to work effectively as a team player and operate under own initiative
- Awareness of and willingness to learn about regulatory and internal control requirements, particularly in relation to inside information risk and effective information barrier arrangements
- Bachelor Degree