Senior regulatory reporting specialist for investment bank, building MiFID II and EMIR reporting functions from ground up with senior stakeholders.
About the role
- Lead Compliance Investigator at HCSC handling high-risk internal investigations. Responsible for preparing reports and guiding management on compliance-related issues.
Responsibilities
- Conducting complex or high-risk internal investigations of concerns of misconduct or potential violations.
- Preparing detailed summary reports and making recommendations to senior management for corrective action.
- Performing investigations and analyses on areas identified as moderate to high risk.
- Mentoring compliance investigator position and assuming manager duties as needed.
Requirements
- Bachelor Degree AND 4 years experience involving researching/investigating inquiries OR 6 years experience involving researching/investigating inquiries.
- 3 years experience investigating compliance inquiries.
- Knowledge of audit/investigative policies and procedures and compliance regulations.
- Verbal and written communication skills to document investigations, compose summaries and conduct interviews.
- Ability to work independently with all levels of management.
- Leadership; organizational; decision-making and analytical skills.
- PC proficiency to include Word, Excel and Access.
Benefits
- Health and wellness benefits
- 401(k) savings plan
- Pension plan
- Paid time off
- Paid parental leave
- Disability insurance
- Supplemental life insurance
- Employee assistance program
- Paid holidays
- Tuition reimbursement
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