Intermediate Compliance Analyst - 35657

Intermediate Compliance Analyst

Location Address: 5 days in office

Contract Duration: ASAP to 07/31/2025

Story Behind the Need

• Business group: GBM Internal Control team oversees Trade Floor Supervision as it is mandated to reduce the regulatory, reputational, and operational risks associated to the sales and trading function on a global basis.

• Project: This is accomplished by monitoring daily, weekly, and monthly trading of equity, fixed income and derivative products on behalf of the desk heads and following up directly with traders and sales personnel. TFS acts as liaison between desk heads and compliance and provides support for the compliance functions locally. The Associate, TFS will monitor communications on Monitored Employees to ensure compliance against governing regulations, internal policies, and procedures.

Responsibilities:

• Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.

• The incumbent works in a team environment with specified duties which relate to monitoring and investigating all types of communications generated on monitored employees in GBM and Group Treasury.

•The primary role of the position is to detect possible regulatory, trading policy or human resources issues that could be embedded in a communication, whether written (electronic) or oral (tapped lines).

• This position works closely with the Associate Director, Communications Surveillance, of Trade Floor Supervision; and may also need to interact, from time to time, with the senior management of Group Treasury and GBM globally.

• The incumbent must be able to manage a review of large number of communications against a significant number of policies that affect the businesses globally, as well as verifying details of communications (i.e. has understanding of the content) and determining accuracy (investigate using public sources).

• Must be able to use judgment in managing highly sensitive information and/or situations.

• Must be highly organized and be able to keep detailed lists and records to demonstrate compliance with the various Bank policies.

• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.

• Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.

• Champions a high-performance environment and contributes to an inclusive work environment.

Must Have Skills:

• 2-4 years experience as a Compliance Analyst

• Experience working in Capital Markets to understand the lingo used in sales and trading environments.

• Ability to write procedures and prepare concise reports.

• Knowledge of securities laws, regulations and trading rules.

Nice-To-Have Skills:

• Experienced with Microsoft Office program

Best vs Average: The ideal candidate would have experience working with Cap Markets and would bring an understanding of it’s functionality within an FI

Degrees or certifications:

• Bachelor’s degree in related field