À propos
Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience to ensure the tactical and strategic success of the firm’s Compliance Surveillance program. This includes but is not limited to building Qlik dashboards and reporting for repeatable Risk Metric production, regulatory discovery analysis, logic development/coding for rollout of new Compliance Surveillance controls, data modeling & charting, ETL processes plus migration on source data, and serving as a utility between industry rules and compliance needs to help mitigate firm risk. Reporting to the Director of Compliance Data Analytics Program, the role is responsible for the creation and maintenance of custom internal technology solutions, requiring skillsets in both technical development and data analytics end‑user tools, debugging & testing, data quality assurance, and cleansing, and general data gathering from across the firm. Essential Duties and Responsibilities
Builds and maintains Compliance Surveillance controls covering business entities such as PCG, GEIB, Advisory & Product areas, RIA & Custody Services. Designs custom Compliance dashboards and self‑service models to identify key risks, builds data models for integration among disparate data sources, and performs QA/test to ensure data validity and transparency. Collaborates with Compliance leaders and IT leaders to ensure the legitimacy and correctness of data sources. Tests all outputs against verifiable sources to ensure delivery of Surveillance Controls and Reporting. Evaluates scope and selects technology components for designing appropriate solutions during development. Designs and implements highly customized large‑scale data solutions that augment risk mitigation. Performs extensive analysis of database entities, relationships, and attributes. Participates in both data design and data processing sessions for assigned projects and teams. Optimizes ETL processes using Microsoft SQL Server or AWS Redshift best practices. Evaluates the content, accuracy, and completeness of data models and file specifications. Coaches, trains, and mentors less experienced Compliance Specialists. Ensures that compliance activities are commensurate with the level of risk being mitigated. Provides escalated support and guidance to compliance efforts in assigned business entity. Assists management to implement adequate controls and processes to detect and address potential compliance problems. Makes risk‑based recommendations to Senior Management using industry knowledge. Interacts routinely with the Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and associates, Supervision & Supervision management. Prepares and delivers written and oral presentations to management. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities
Advanced data analytics concepts. Concepts, practices, and procedures of the securities industry. Control functions such as Compliance, Supervision, or Financial Crimes. Fundamental investment concepts, practices and procedures used in the securities industry. Financial markets and products. Technical Skills
Common SQL language. Qlik dashboard development and data manipulation. AWS Redshift querying and navigation. Written and verbal communication. Providing support and guidance for compliance efforts. Identifying and implementing controls and quality assurance processes. Researching compliance issues. Gathering information, and preparing oral and written reports. Preparing and delivering written and oral presentations. Investigating relevant irregularities. Operating standard office equipment and using required software applications. Abilities
Providing training, coaching, and mentoring for others. Partnering with other functional areas to accomplish objectives. Facilitating meetings, ensuring that all viewpoints, ideas, and problems are addressed. Attending to detail while maintaining a big‑picture orientation. Gathering information, identifying linkages and trends, and applying findings to assignments. Working under pressure on multiple tasks concurrently and meeting deadlines in a fast‑paced work environment with frequent interruptions and changing priorities. Using appropriate interpersonal styles and communicating effectively, both orally and in writing, with all organizational levels. Working independently as well as collaboratively within a team environment. Providing a high level of customer service. Establishing and maintaining effective working relationships at all levels of the organization. Maintaining confidentiality. Educational and Previous Experience Requirements
Bachelor’s degree (B.A. / B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry. Licenses & Certifications
None required. Additional licenses or certifications that demonstrate knowledge/expertise in industry regulation and concepts are preferred. Travel
Less than 25% Workstyle
Hybrid Compensation and Benefits
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. The Company is an equal‑opportunity employer and makes all employment decisions on the basis of merit and business needs.
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Compétences linguistiques
- English
Avis aux utilisateurs
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