Join the Personal Account Dealing advisory team to shape Personal Account Dealing advice, using approved AI to streamline processes, strengthen controls, and speed decisions.
As an Associate within Compliance, Conduct and Operational Risk (CCOR), you will be part of the Personal Account Dealing (PAD) Advisory Team, working closely with the PAD Operations partners, to act as a trusted advisor on PAD inquiries, and contribute to strategic thought partnership to shape the forward PAD agenda. You will drive intelligent innovation using available and form-approved agentic AI and other tools available to simplify processes, strengthen controls, and accelerate response time for query-based decisioning, and overall process efficiency.
Job Responsibilities
- Strong emphasis required on assessing current PAD processes and procedures to identify opportunities to innovate through the use of agentic AI tools, streamlining and simplifying workflows while strengthening controls.
- Collaborate on enhancement opportunities with other PAD teams with the aim of ensuring technology proficiencies through the use of tech advancement tools available in the Firm.
- Provide PAD advisory support in APAC, including interpreting policy requirements and advising employees and managers.
- Coordinate with global and regional Compliance teams to develop, update, and implement PAD-related policies and strategic initiatives.
- Collaborate with the PAD Operations Team to review cases on employee account and trade data, assess adherence to personal account dealing policies, and address location or line-of-business-specific requirements.
- Support ad-hoc regulatory examinations and internal audits, including data gathering, documentation, and control walkthroughs.
Required qualifications, capabilities, and skills
- Minimum 3 years of experience in Compliance or a regulatory function within financial services.
- Keen interest in exploring agentic AI and other tools available in the Firm.
- Experience in successful implementation of used cases involving AI and other workflow efficiency tools is an added advantage.
- Ability to interpret regulations and translate them into effective policies, processes, and controls.
- Bachelor’s degree in business, finance, or a related discipline.
- Strong analytical judgment with the ability to evaluate requests, detect risks, and identify conflicts of interest.
- Excellent written and verbal communication skills and the ability to influence and collaborate across all levels of the organization.
- Demonstrated ability to prioritize and manage multiple deliverables in a fast-paced, deadline-driven environment, while handling confidential and sensitive information with discretion