Markets Compliance Advisory â Associate
Markets Compliance Advisory â Associate
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Job Description
Were seeking aMarkets Compliance Advisory Associate who will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Operational Risk and other Control functions. This position requires knowledge and experience in Compliance as well as familiarity with regulatory and/or audit best practices.
As aCompliance Advisory Associatewithin Markets Line of Business team you will partner with global and regional compliance teams to ensure adherence to regulatory standards. You will have the opportunity to provide thought leadership and compliance input to regulatory change management. You will drive business initiatives that align with our firms regulatory and reputational risk tolerances. Your role will be pivotal in shaping the compliance landscape and ensuring our business thrives in a competitive environment.
Job responsibilities
Partner with Line of Business and global/regional compliance teams.
Provide credible timely and risk-based oversight and challenge.
Deliver thought leadership and compliance input to regulatory change management.
Support business initiatives with timely and documented input.
Conduct scheduled and ad-hoc training for the business.
Complete monitoring activities accurately and timely.
Identify implement and review compliance policies and procedures.
Prepare materials for forums.
Escalate issues to management appropriately
Required qualifications capabilities and skills
Relevant Compliance or other related experience; such as Risk management Audit or similar Control-related experience
Knowledge of the UK and EU regulatory framework as applicable to the coverage areas (e.g. MiFID II MAR and PRIIPs) and recent regulatory developments (e.g. Consumer Duty Retail Investment Strategy)
Demonstrated ability to identify key issues and obtain appropriate information for further analysis
Must be highly analytical with experience in collecting analyzing and synthesizing information on various subjects
Must possess excellent written and oral communications skills
Teamwork skills; you must be flexible in work style and be able to work appropriately with stakeholders and colleagues
Strong PC Skills including Microsoft Excel SharePoint Word PowerPoint and other reporting tools
Ability to establish credibility and strong partnerships globally
Ability to manage numerous reviews and confidential and sensitive information in a professional manner in a fast-paced deadline-driven environment
Audit Regulatory &/or Testing experience
Preferred qualifications capabilities and skills
Ideally exposure to at least some of the coverage areas listed above
Audit Regulatory &/or Testing experience
Required Experience:
IC
Employment Type
Full-Time
