Job Responsibilities

• Efficiently execute the identification of controls relevant to specific statutes, laws, rules, and regulations ('legal obligations').
• Actively participate in associated quality reviews and ongoing data hygiene activities.
• Effectively support the preparation, interpretation, and review of Compliance Risk Assessments.
• Continuously keep the control tagging evergreen as the underlying control framework and population of associated legal obligations evolve.
• Expertly develop and deploy subject matter expertise of local business activities, applicability of rules and regulations, and the local legal and regulatory framework.
• Capably represent Markets in working groups and other meetings for specific Compliance Risk framework requirements.

Required Qualifications, Capabilities, And Skills

• Minimu 5 year career focused on the capital markets regulatory rules issued by the major agencies that cover equities, currencies, commodities, credit, municipal bonds and structured products
• Practical knowledge of trading room operational risk, supervisory preventative and detective controls and end-to-end deal flow from pitching to settlement
• Experience in supporting risk and control identification and implementation
• Analytical thinker who can interpret regulatory rules, form fact-based conclusions and identify new risks to sales and trading activities. Must have the ability to synthesize large volumes of information and draft key messages for senior leaders
• Demonstrate sound judgment, maturity, and poise to influence and collaborate with capital markets personnel
• Energetic, self-motivated, and thrives in the challenge of simultaneous work-streams

Preferred Qualifications, Capabilities, And Skills

• Adept at interpreting legal text as a layperson (note: formal legal qualifications are not required)
• Knowledge of Markets products and businesses