Associate, Registrations & Governance
Core
Implements, maintains, and administers compliance programs; supports risk assessments, monitoring, testing, and surveillance to ensure alignment with regulatory requirements.
Role type
Associate, Registrations & Governance (Compliance)
Builds
Compliance oversight frameworks, risk mitigation strategies, and regulatory reporting for business groups.
Domain
Financial Services / Regulatory Compliance
Required skills
Risk assessment, regulatory analysis, root cause analysis, issue management, stakeholder engagement, process improvement, training development, compliance reporting, policy implementation.
Preferred skills
Recognized compliance certificate, knowledge of consumer protection and marketing guidelines.
Technologies
Compliance tools, regulatory databases, reporting systems.
Responsibilities
Conduct and challenge risk assessments and monitoring activities; identify and mitigate regulatory risks; analyze and report compliance information; advise business lines on regulatory matters; represent the compliance team during audits; develop training based on compliance gaps.
Seniority
Mid-level, hands-on IC
