Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
Financial Crime Compliance is seeking an analyst/ associate with some prior brokerage or AML experience. The role would entail the investigation and analysis of wires, journals, trading and market data to detect suspicious behavior including insider trading, market manipulation, insider abuse, and various other types of financial crime. OUR IMPACT Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial market risk. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
The AML Transaction and Market Surveillance Group (TMSG) is responsible for coordinating the firm wide processes for investigating and reporting suspicious activity or transactions. This mandate discharged in several ways. For example, the Transaction and Market Surveillance Group conducts automated surveillance of transaction activity for evidence of unusual asset movements that could be probative of money laundering, terrorist financing, fraud, certain forms of market manipulation, or other improper conduct. The group also drives the design and implementation of enhance risk-based models and surveillances in this area.
The Analyst/ Associated in the Transaction and Market Surveillance Group is responsible for:
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