Job
Description
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. Youll 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. BUSINESS UNIT OVERVIEW The GBM Public Compliance Programmatic Review Execution Team ( PRET ) is part of the GBM Public Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses. Programmatic Review Program is comprised of individual reviews that are designed to assess the firm and the business personnel s adherence to the policies and procedures by deploying various testing techniques and as a whole represents one of the key pillars to the GBM Public Compliance s oversight over the businesses.PRET helps execute Programmatic Review Program which is designed to monitor the compliance and regulatory risks across the GBM Public businesses, and works to develop and/or enhance appropriate risk control measures to mitigate such risks. Post development, PRET performs the reviews and maintains oversight of such controls to ensure the continuing integrity, relevance and proper performance of those controls. Based on varying frequency of the reviews, team members are responsible for executing those Programmatic Reviews and interacting with Line Compliance and the business to conclude on results of the reviews. PRET works closely with the Business, Line Compliance and Technology across locations as well as other groups within the Firm. PRET is strategically located in Bengaluru to allow close connectivity with key stakeholders in all time zone. RESPONSIBILITIES Development of Reviews Partner with Line Compliance to develop and/ or enhance Programmatic Reviews and associatedreview procedures which may include working with various business and Technology to sourceappropriate data. Apply a consistent approach across businesses, products and regions. Execution of Reviews Perform Programmatic Reviews based on agreed review procedures with Line Compliance. Discuss results of the review with Line Compliance and where necessary engage with BusinessPersonnel on any potential findings. Monitor that the reviews are being performed properly from a qualitative and timeliness perspective. Identify enhancements to existing review procedures based on results of previous reviews or change ofrisk profile of the business it covers Participate in periodic risk assessments. Management Reporting and Escalation Monitor and escalate key performance matrix in relation to executing the Programmatic ReviewProgram Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activityacross businesses, products and regions. Coordinate issues, findings and practices with colleagues across regions and/or divisions. Management Reporting SKILLS / EXPERIENCE: 5+ years of prior experience in Compliance, Surveillance, Internal Audit or other control function. Working knowledge of securities markets, businesses, products and exchange rules and regulations. Good interpersonal skills and excellent written/ oral communication skills. Inquisitive and proactive in identifying risks and proposing solutions. Ability to work with a variety of senior and junior people, and build smooth working relationships. Motivate and guide junior team members towards achieving their individual and team goals. Highest attention to detail. Ability to work independently - one who is able to prioritize deliverables in a fast moving, high pressure, constantly changing environment. Strong organizational skills and ability to manage multiple assignments concurrently. Entrepreneurial inclination - ability to work alone and act as project manager. Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment. Proficiency in usage of Alteryx/ Tableau/ Excel and other data analytics/ visualization tools. Build consensus across teams; think and implement stable and scalable solutions. Strive for personal and collaborative excellence.
