Business Supervisory Office – Regulatory Control Senior Advisor, AVP
Core
Senior advisor ensuring US Private Banking compliance with local rules, Reg BI, suitability, market abuse regulations, and AML requirements through trade surveillance and transaction monitoring.
Role type
Senior IC regulatory control advisor (Private Banking)
Builds
Compliance reports, surveillance alerts, and transaction monitoring dispositions for US Private Banking clients
Domain
Financial Services / Private Banking / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory compliance analysis, trade surveillance, transaction monitoring, AML risk assessment, data analysis, process improvement, stakeholder coordination
Preferred skills
FINRA rule expertise, Market Abuse Regulations knowledge, Private Banking AML risks, data visualization tools, AI/Machine Learning tools
Technologies
Salesforce, Tableau, Power BI, PM1, SunGard/FIS Protegent, NetX360, MS Co-Pilot
Responsibilities
Review daily trade alerts for market manipulation themes, analyze cross-border wire transfers for money laundering, verify trades against client suitability, create surveillance reports, research entities for compliance, maintain Key Operating Procedures, coordinate with business divisions on data quality
Seniority
Senior, hands-on IC