Are you ready to make a significant impact in the world of financial compliance? As a Personal Account Dealing Analyst, you will play a crucial role in ensuring our firm adheres to financial regulations, preventing conflicts of interest, and maintaining the integrity of our operations. Join our dynamic team and help us navigate the complexities of personal investing activities.
As a Personal Account Dealing Analyst in the EMEA Compliance, Conduct and Operational Risk Department, you will interact with stakeholders across various locations to support compliance with financial regulations. You will be instrumental in promoting our firm's policies, conducting training, and ensuring adherence to the Personal Account Dealing Policy. Your work will help prevent violations of securities laws and manage conflicts of interest.
Job Responsibilities
- Interact with and influence stakeholders to elicit requirements and support standardized documentation.
- Promote the firm's Approved Brokers and conduct awareness sessions.
- Stay informed about industry trends and conduct research on focus areas.
- Prepare compliance training materials and participate in training sessions.
- Design and perform risk-based compliance monitoring tests.
- Investigate and resolve escalation alerts from employees.
- Develop expertise in financial products and markets covered by the PAD Policy.
- Report key controls and operational metrics to management.
- Resolve employee and stakeholder queries promptly.
- Ensure timely execution of employee pre-clearances and report breaches.
- Support the creation of internal, external, and ad-hoc reports.
- Represent the region for operational standardization.
Required Qualifications, Capabilities, and Skills
- Experience in a corporate environment within a financial institution's compliance, risk, or operations function.
- Basic knowledge of financial markets and products.
- Ability to make sound judgments and independent decisions.
- Strong execution skills to deliver results under pressure.
- Proficiency in data organization and maintenance.
- Excellent interpersonal and communication skills.
- Proficiency in summarizing complex topics concisely.
- Effective analytical and problem-solving abilities.
- Willingness to learn relevant laws and regulations.
- Proficient user of Microsoft Office (Excel, Word, Visio, PowerPoint).
Preferred Qualifications, Capabilities, and Skills
- Strong understanding of compliance and risk management in financial institutions.
- Experience in conducting compliance training and awareness sessions.
- Familiarity with regulatory requirements in the EMEA region.
- Ability to work effectively with diverse teams across
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