Analyst/Associate - Compliance Risk Control/Trade Surveillance - Investment Bank

Compliance Risk Control Group or the Compliance team provides coverage and support to the Equities Sales and Trading business for Asian countries. The primary responsibility of the team is to monitor and perform surveillances, enhance surveillance control, perform oversight and regular review of policies and procedures for various Asian countries.

Principal Responsibilities

Grasp business, compliance and regulatory rules and policies

- Perform and prepare reports relating to surveillances including but not limited to holdings, positions, personal account trading, restricted trading

- Take ownership and provide feedback on reports, creating checklists and resolving exceptions

- Provide guidance to internal clients on appropriate interpretation and application of policies/procedures

- Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers

- Assist regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation

- Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm

- Taking ownership of processes and controls within the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant

- Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology

- Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe

- Identify and effectively escalate potential issues to the appropriate person/s

- Communicate findings to compliance colleagues and suggest potential corrective actions to address issues

- Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation

Skill Sets:

Strong communications skills; oral, written and interpretive - must be able to comprehend what is said/written and ask probing questions

- Attention to detail and strong follow-up skills

- Ability to forge strong relationships with colleagues and clients

- Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules

- Strong analytical and risk assessment skills

- Ability to handle multiple tasks simultaneously and work under pressure

- Proactive, self motivated and organized

- Ability to prioritize and make decisions in a fast paced-environment

- Good judgment - know when and how to escalate issues

- Inquisitive and investigative skills

- Basic understanding of the fundamentals of the financial industry

- Experience in financial, legal, accounting or regulatory areas is preferred

Computer skills:

- Microsoft Office Applications

- Visual Basic for Applications programming is a desired but not required skill set