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. 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.
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 to conduct forensic reviews of the various Divisions within the firm. In performing these reviews, the individual will use advanced testing techniques to check compliance with regulations and the firm’s policies, procedures and compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses, including sales and trading employees, investment bankers, portfolio managers, merchant bankers, and technologists.
The principal objective of the Compliance Testing Group (“CTG") is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to refine firm processes. The team has global reach (with locations in New York, Salt Lake City, London, Tokyo, Singapore, Bengaluru, and Hong Kong) and is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals, lawyers and traders).
Propose methods of testing and execute plans discussed and agreed with a team leader
Gather data, perform analyses and document results
Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals
Multi-task - have the ability to work on several different reviews with different individuals at the same time
Leverage strong communication skills to interact with Compliance and business senior management
Team with colleagues around the globe to share findings and refine processes
Meet tight deadlines