Role Description
- 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 team 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, 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.
- Work with Change and Global teams on DOCAI training
Your skills and experience
- Good understanding of Capital Market products e.g – Equities, Fixed Income etc
- Strong communication skills, both written and verbal, with an ability to communicate effectively with second line functions, the line of business, and technical team members,
- with the ability to influence stakeholders
- An enthusiastic team player; able to build strong, open dialogue-based relationships with relevant Stakeholders
- Challenge mindset
- Able to manage many competing deliverables effectively for on-time delivery
Education | Certification (Recommended):
- Bachelor’s degree (any stream) from an accredited college or university
