Compliance Product Senior Analyst
Core
Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM) team, covering Securities Services businesses primarily Custody services in South Africa.
Role type
Senior IC Compliance Product Analyst
Builds
Compliance programs, policies, and processes for the ICRM Securities Services business
Domain
Financial Services / Securities Services / Custody
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory knowledge, Risk identification and assessment, Program management, Process execution, Analytical thinking, Laws and regulations
Preferred skills
Custody services knowledge, Securities services knowledge, Relevant certifications, Completed Strate Custody Exams
Technologies
MS Office (Excel, Word, PowerPoint)
Responsibilities
Design and maintain compliance programs, policies, and practices; Assist with regulatory inquiries and examinations; Act as a Strategic Compliance Officer managing communications regarding fines and requests; Collaborate with Legal, Operations, and Risk functions to address compliance issues; Support timely compliance reviews of new transactions and products; Develop and administer compliance training; Research rule changes and implement necessary controls.
Seniority
Senior, hands-on IC
