Employee Compliance Officer, Associate

As an Associate of Employee Compliance in Central Compliance, primary focus will be to review, approve and monitor employee activity within the Personal Account dealing Trading, Employee Trade Surveillance and Consequence Management for APAC, Americas and EMEA region.

Team / division overview

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 Departments success.

Your key responsibilities

As a Reward Specialist you will:

• 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 multi task, 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.
• Handle the team of Analysts and Senior Analysts, Team management and People Development.
• Handling the BAU of the process along with the process escalations, Stakeholder management, Global projects.

Your skills and experience

• Bachelors or Masters in Commerce and Finance.
• The candidate should have minimum 6 to 8 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
• Very good Microsoft Office skills (Word, PowerPoint and especially Excel)