Compliance - GMC - PRET - VP - Business Unit Compliance

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.

Skills Required
Data Analysis, Project Management, Compliance, gmc