Global Banking & Markets Public Compliance, Core Programs, Associate

GLOBAL COMPLIANCE

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. You'll 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.

Global Banking & Markets Public (GBM Public) Compliance is responsible for comprehensively identifying and managing the regulatory, legal, and reputational risks of GBM Public.

Job Summary:

The Core Programs team within GBM Public Compliance oversees the integrated Compliance Program for GBM Public, globally. This includes the periodic Compliance Risk Assessment of GBM Public, GBM Public regulatory change management program, GBM Public Policies and Procedures governance, GBM Public training program implementation, GBM Public Conduct program governance, and the implementation of the Firmwide Market Conduct Risk Compliance Program. We are looking for a team member to support all pillars of our team including with design and execution of the data analytics and reporting strategy to draw insights and drive efficiencies across all pillars under the responsibility of the Core Programs team. At times, the role will require navigating and problem solving across multiple teams and stakeholders bearing in mind timelines and a senior audience.

Principal Responsibilities include but not limited to:

• Assist with GBM Public conduct program management, with day-to-day operations of conduct matters, includes trend analysis, risk categorization, develop action plans to mitigate risk and reporting to various forums
• Assist in divisional and cross divisional stakeholder management to organize meetings with senior leadership, organize materials
• Support in Firmwide Market conduct risk governance, with day-to-day operational management of meetings, materials, conduct metric assessment, industry case studies, and regulatory landscape knowledge
• Execute various reporting for senior management (both in excel and PowerPoint), including metrics to assesses the effectiveness of each conduct program and reporting to showcase team deliverables
• Assist with the implementation of strategic initiatives impacting GBM Public Compliance primarily across conduct risk, policies & procedures, and implementation of new conduct consequences management
• Participate in compliance-led projects, and represent team on firmwide and cross regional projects and working groups
• Liaise with Compliance, Risk, Technology, Legal and other Federation areas
• Deal with ad hoc requests and initiatives

Basic Qualifications:

• Bachelor's degree required
• Minimum of 4 years of relevant work experience
• Related coursework and/or work experience preferred
• Ability to learn quickly and work through complex issues
• Understanding of Compliance related internal controls design, implementation and testing
• Detail-oriented and able to produce quality work product, even when working under tight time frames
• Exceptional judgment skills- ability to identify and effectively escalate potential issues
• Attention to detail and strong follow-up skills