Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program.

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As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

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OUR IMPACT

This is an exciting opportunity for an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to join the firm’s Compliance Testing Group (“CTG”) to prepare and distribute key management information to stakeholders and regulators.  In addition, the individual will also have the opportunity to develop and implement new reporting tools and dashboards to provide actionable metrics and visualizations that will drive change and facilitate more effective risk management. We are also seeking someone who can identify and implement process improvements using technology and AI tools to drive efficiency, quality, and scalability in CTG’s reporting and analytics workflows.

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The Compliance Testing Group has a global reach and is comprised of experienced individuals with varying backgrounds and qualifications (including former traders, brokers, auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and product controllers), located in New York, London, Hong Kong, Tokyo, Salt Lake City, Singapore, Bengaluru, and Warsaw.

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YOUR IMPACT

• Produce key risk metrics and information to manage compliance risks.
• Interpreting / clarifying, and responding to, regulatory requests for information about CTG.
• Develop reporting tools and workflows to further enhance CTG’s reporting framework.
• Work with stakeholders to implement action plans to mitigate and address compliance risks.
• Meet tight deadlines.
• Identify automation opportunities, and implement technology- and AI-enabled solutions.

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Basic Qualifications

• Bachelor’s Degree.
• Excellent written English skills, with ability to describe complex issues in a clear and concise manner.
• Excellent interview, presentation, communication, time management, and analytical skills.
• Integrity, motivation, intellectual curiosity, and attention to detail.
• Knowledge of Microsoft Word, Excel and Powerpoint.
• Fluency in English.

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Preferred Qualifications

• Experience with Business Intelligence tools, such as Alteryx and Tableau
• Compliance, auditing, testing, legal, or regulatory/law enforcement experience.
• Experience working with SQL.
• Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting or Big 4 financial services advisory firm, or a national regulator.
• Fluency in other non-English languages beneficial.
• Experience with workflow automation including practical experience integrating AI copilots or LLMs into business processes.

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