Senior Compliance Specialist - ECO

In this role, you will:

• Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions
• Provide oversight and monitoring of risk-based compliance programs
• Develop and oversee standards
• Provide subject matter expertise with comprehensive knowledge of business and functional area
• Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
• Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Provide compliance risk expertise
• Consult for projects and initiatives with moderate risk for a business line
• Identify and recommend opportunities for process improvement and risk control development
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Report findings and make recommendations to management appropriate committees
• Interpret policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Work with complex business units, rules and regulations on moderate risk compliance matters
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications:

• 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 8+ overall & 4+ relevant Experience in Personal Account Dealing, Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Good knowledge in investment products & financial securities
• Experience developing partnerships and collaborating with other business and functional areas
• Ability to work independently and see projects through from start to finish
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Excellent analytical skills with high attention to detail and accuracy
• Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

Job Expectations:

• Report to the Manager on the Personal Account Dealing Team and will work in close collaboration across various functions in PAD and ECO to help ensure that all assigned work is completed in a timely and accurate fashion
• Serve as a SME across all areas of the ECO Processes / Global Delivery Activity being delivered out of India
• Provide expertise on Information Barrier and Personal Account Dealing Policy & Procedure requirements. Improve Global & specifically APAC region employee adherence by leading PAD advisory and pre-trade preapprovals
• Fully understand the Quality check & Quality Assurance under the remit and ensure adherence.
• Develop requisite reporting & business metrics to monitor and drive the right outcome for the business operations.
• Drive continuous process improvements, identifying opportunities for increasing productivity, efficiency, accuracy and improving controls
• Support peers and assist with initiatives and implementation.
• Deliver process training material of courses with one or more components (e.g., new-hire, refresher process and product or systems) to an audience through directive teaching methods to help individual contributors and managers develop crucial job skills