Senior Compliance Professional
Core
Promoting the Code of Business Conduct and Ethics while mitigating compliance risks such as Anti-Bribery, Conflicts of Interest, and Personal Trading.
Role type
Senior Compliance Professional
Builds
Compliance training programs, due diligence reviews for Business Associates, and compliance registers.
Domain
Financial Services / Wealth Management Technology
Required skills
Compliance due diligence, KYC, sanctions laws, World-Check/Lexis-Nexis tools, compliance training systems, business process management, analytical skills, Microsoft Copilot/Excel/PPT proficiency
Preferred skills
Accounting/Business/Law/Finance degree, Compliance/Internal Control/Auditing background, prior experience in Compliance functions
Technologies
World-Check, Lexis-Nexis, Compliance Training Systems, Microsoft Copilot, Excel, PowerPoint
Responsibilities
Promoting the Code of Business Conduct and Ethics, performing compliance risk mitigation work, delivering compliance training, conducting due diligence reviews of Business Associates, maintaining compliance registers, advising internal employees on compliance topics, contributing to new compliance projects
Seniority
Senior, hands-on IC