We are a department that values Diversity and Inclusion (D&I) and are committed to realizing the firm's D&I ambition which is an integral part of our global Conduct and Ethics Standards.
Exciting and challenging role in Financial Crime Compliance - AML Transaction Surveillance Team within Chief Compliance (CCO).
Conducting reviews of transactions/trade surveillance alerts to detect potentially negative trading activities.
Identifying, reporting and taking steps to mitigate risks.
Contributing to the efficiency and effectiveness of existing surveillance alerts as well as to the development of routines, promoting awareness of applicable regulatory standards, up streaming risks and industry best practice across the business and relevant support areas.
Monitoring the latest regulations in US and collaborating closely with the business/functional managers to ensure compliance with the regulations, including advising on the implementation of the relevant processes and controls to mitigate regulatory and compliance risk.
Participate in business initiatives and the product due diligence process by providing comprehensive advice from a compliance and regulatory perspective.
Understand the value of diversity in the workplace and are dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. This should be further elaborated on in your application.
Outstanding problem solving, analytical skills with outstanding written and verbal communication skills.
Minimum of 3 to 6 years of exposure to compliance in a comparable role in the banking industry or related work experience with a regulatory body.
Equivalent work experience in a similar position in an international environment preferably in financial services or regulated industry.
Training experience and/or Compliance or other risk and control function experience is highly desirable.
Deeply detailed oriented, with follow-up capabilities, sound Project Management knowledge.
Outstanding interpersonal skills and flexibility to adapt to short term changes.
Proactive approach, willingness to suggest, develop and implement ideas.
Knowledge of the Banking Act, Securities and Futures Act, and Financial Advisors Act as well as corresponding regulatory notices and guidelines in US Jurisdiction.
Investment Banking and Private banking experience would be advantageous.
Experience in coordinating and handling a highly effective compliance function in a financial services industry.
Proficient writing, analytical, research and communication skills and can multi-task and complete projects on time.
Outstanding business partner management and communication along with multi-tasking competing priorities whilst maintaining a degree of accuracy and attention to detail.
Ability to collaborate effectively with business associates in the bank, including other risk and control functions, front office and members of the Compliance team regionally and globally.
Proficiency in PowerPoint, Excel, Word and Outlook.