- Specific/ mandatory skills: Relevant Employee Compliance experience, good analytical, communication (written and verbal) and MS office skills primarily excel
- Work from Home at present (Yes/No): Hybrid
Details of the Role and how it fits into the team
The Employee Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Department’s success.
As a member of Employee Compliance in Central Compliance, primary focus will be to review, approve and monitor employee activity within the Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management for APAC, Americas and EMEA region.
Your key responsibilities:
- Hands on experience in various processes of Employee Compliance - Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management.
- Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures
- Ability to multitask, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner
- Preparing MI and Tracking KPIs and Status updates for senior management.
- Handling the BAU of the process along with the process escalations, Stakeholder management, Global projects.
Your skills and experience:
- Bachelor’s or Masters in Commerce and Finance.
- The candidate should have minimum 6 years prior experience in Investment Banking Operations. Having an exposure to Compliance Operations or performing Compliance related roles is a plus.
- Must be detail oriented, Strong communicator, comfortable in presenting and explaining analysis to senior management
- Knowledge/experience with array of financial products (including stocks, bonds, equity/credit derivatives)
- Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
- Team player with great attitude and work ethic, ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
- Strong attention to detail, coupled with strong problem-solving skills
How we’ll support you:
- Training and development to help you excel in your career
- Flexible working to assist you balance your personal priorities
- Coaching and mentoring from experts in the bank
- A culture of continuous learning to aid progression