We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firmâs D&I ambition which is an integral part of our global Conduct and Ethics Standard
An exciting and challenging role in Financial Crime Compliance â US Surveillance (Transaction Monitoring) Team within Chief Risk & Compliance OfficeFunctional Responsibilities Include
- Conducting reviews of transactions/trade surveillance alerts to detect potentially abusive trading activities.
- Identifying, raising and taking steps to mitigate risks.
- Contributing to the efficiency and effectiveness of existing surveillance alerts as well as to the development of new routines, promoting awareness of applicable regulatory standards, up streaming risks and industry best methods across the business and relevant support areas.
- Monitoring the issuance of new or revised 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.
- Participating in new business initiatives and the product due diligence process by providing timely and 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 role requires outstanding analytical and organizational skills with strong written and verbal communication skills.
- A minimum of 3 to 6 years of Compliance experience in a comparable role in the banking industry or related work experience with a regulatory body.
- Prior experience in a similar position in an international environment preferably in a financial services or regulated industry.
- Training experience and/or Compliance or other risk and control function experience is highly desirable.
- Deeply detailed oriented, with outstanding follow-up capabilities, sound Project Management knowledge.
- Very good interpersonal skills and flexibility to adapt to short term changes.
- Proactive approach, willing to suggest and build new ideas.
- In-depth 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 desirable.
- Experience in overseeing and managing a highly effective compliance function in a financial services industry.
- Strong writing and research skills and can multi-task and complete projects on time.
- Excellent business partner management skills is a must, ability to multi-task competing priorities whilst maintaining a high degree of accuracy and attention to detail.
- The ability to collaborate effectively with business partners in the bank, including other risk and control functions, front office and other members of the Compliance team regionally and globally.
- Very good office skills including PowerPoint, Excel, Word and Outlook
- A positive can-do approach!
- Result oriented, dedicated, hardworking who can work on own initiative and can deliver on time under pressure with a high level of integrity and flexibility, sense of urgency, attention to detail and quality standards