Banking & Research Compliance and Control Room - Associate
Core
Provide independent guidance and oversight to Global Banking and Research lines of business to maintain market integrity and information barriers.
Role type
Associate Compliance Officer (Banking & Research)
Builds
Compliance policies, frameworks, and information barrier controls for investment and corporate banking.
Domain
Financial Services / Banking Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory risk management, Information barrier maintenance, Conflict of interest management, Transaction review, Research publication compliance, Stakeholder advisory
Preferred skills
Analytical problem solving, Prioritization under pressure, Team collaboration, Regulatory awareness
Technologies
N/A
Responsibilities
Advise on regulatory requirements and new products, Develop compliance policies, Monitor information barriers and flow of non-public information, Maintain Watch and Restricted lists, Review research publications for compliance, Engage with regulators and investigations, Provide training on risk topics
Seniority
Associate, hands-on IC