Global Compliance, Associate, Oversight, Monitoring and Testing

Overview

Associate in Legal & Compliance (Oversight, Monitoring and Testing) focused on reviewing trade surveillance, investigating alerts, and supporting controls and compliance inquiries.

What you'll do

• Review and analyze trade surveillance reports across asset classes to escalate regulatory and policy breaches.
• Liaise with Compliance, Operations, and front office staff to investigate surveillance alerts.
• Resolve escalated alerts promptly, document results, and escalate possible exceptions.
• Identify trends and patterns of high-risk clients or traders by analyzing trading activities.
• Create and present management information packs on a periodic basis.
• Support tuning and optimization of surveillance processes and program effectiveness.
• Assist with design and deployment of new controls and enhancement/calibration of existing controls.

What you'll need

• Post Graduate qualification / MBA in Finance / CFA or similar.
• Excellent communication skills to explain complex scenarios clearly to stakeholders.
• Strong analytical skills to handle and present large data sets to identify exceptions or anomalies.
• Proven ability to develop rapport and promote effective two-way communication with global colleagues.
• Problem-solving abilities to work independently under pressure.
• Understanding of risk implications.
• Experience interpreting laws or regulations.
• Knowledge of market data vendors such as Bloomberg, Reuters, or Eikon.
• Knowledge or use of analytical tools like Tableau and SQL for querying large data sets.
• Awareness of new technologies such as Machine Learning and AI.

Details

• Role is an Associate level position within Oversight, Monitoring and Testing.
• Interaction with IT, including work with IT and/or vendors to enhance/develop new tools.
• Participate in testing and requirement drafting for new models/reports.