Compliance Monitoring Officer providing file review service to threesixty clients, focusing on compliance feedback and maintaining client relationships.
About the role
- Senior Associate supporting regulatory oversight in global financial services. Responsible for disclosures, reports, data management, collaboration, and process enhancement.
Responsibilities
- Responsible for supporting the monitoring, identification and preparation of Substantial Shareholder disclosures and corresponding regulatory reports on a global basis; including Takeover Panel, Short Position and Sensitive Industry reporting.
- Perform requisite data analysis, aggregation and quality control.
- Prepares various monthly reports for internal businesses and groups within the firm.
- Prepares/Reviews a variety of securities-related risk management reports.
- Performs data management, quality control and investigative research in support of regulatory reporting.
- Collaborates with internal businesses, domestically and internationally, on data enhancement and reconciliation.
- Participates in projects / process enhancements from end to end.
- Ability to leverage AI to streamline and modernize workflows.
- Reviews and makes recommendations on necessary procedural/control changes and contributes to the achievement of team objectives.
Requirements
- Bachelors degree or the equivalent combination of education and experience is required
- 3-6 years of total work experience preferred
- Proficient with MS Excel required and technical experience a plus
- Knowledge of the Financial Services Industry required
- Strong collaborative skills are preferred to work in this collegial team environment
- Strong communication skills, problem-solving abilities preferred
Benefits
- highly competitive compensation
- access to flexible global resources and tools for your life’s journey
- focus on your health
- foster your personal resilience
- reach your financial goals as a valued member of our team
- generous paid leaves
- paid volunteer time
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