Compliance Officer, Regulatory Relations Core Compliance

Compliance Officer

The Compliance Officer within Regulatory Relations Core Compliance assists in the development and execution of core compliance programs and processes and helps manage the various relationships with our US regulators.

Responsibilities:

• Assist with the coordination of examinations and inquiries by regulators covering various businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators.
• Communicate with regulators and internal stakeholders regarding regulatory issues, findings by the regulators, and remediation related to those findings.
• Work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests.
• Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.
• Assist with the management and tracking of regulatory inquiries.
• Assist with monthly and ad hoc Compliance reporting.
• Support the development of US policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of the US.
• Assist in the ongoing enhancement of Core Compliance processes.
• Participate in enterprise-wide special projects.
• Assist the broader Compliance team with special projects as needed.

Qualifications:

• BA/BS, or a similar degree required.
• 2 years of experience with a registered US broker dealer or regulator.
• Problem solving skills and the ability to work independently.
• Strong oral and written communication skills.
• Ability to build and maintain professional relationships with internal and external parties.
• Produce high quality output timely and accurately.
• Strong technology skills including Word, PowerPoint and Excel.
• Attentiveness to detail and ability to work independently.

Physical Requirements:

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading, writing and comprehending instructions Continuous
• Adding, subtracting, multiplying and dividing Continuous