Compliance, Private Wealth Management Compliance - US Markets Solutions Group, Associate/VP

Location(s) US-NY-New York
Job ID
Schedule Type
Full Time
Business Unit
PWM Compliance
Employment Type



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.


Job Summary & Responsibilities


US Market Solutions Group (MSG) Compliance is part of the Global PWM Compliance team, the role is based in New York and will have a particular focus on capital markets and complex products offering (including derivatives, structured products, new issues, co-investments). Responsibilities will include providing product related compliance advice, monitoring, product/trade approvals and project management. The role will report into the US Head of MSG Compliance.


Principal Responsibilities:

  • Providing Compliance input in product design and approvals
  • Conducting trading and suitability surveillance
  • Providing Compliance representation in Divisional Committees, such as Order Execution Review Committee
  • Managing products and suitability related projects


Additional Responsibilities:

  • Providing advice and support to business projects and issues requiring compliance input
  • Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
  • Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
  • Reviewing and approving client account and trade activity from a suitability perspective
  • Providing support for / responding to general compliance-related queries
  • Development and implementation of compliance-related policies and procedures
  • Impact analysis and implementation of regulatory changes affecting the PWM business
  • Develop and deliver training for business personnel


Basic Qualifications:

  • University degree and/or professional compliance / financial services qualification
  • 3-5 years’ compliance or other relevant financial services experience. Private wealth management / product compliance experience preferred
  • Detailed Knowledge of US regulatory environment
  • Any knowledge of international regulatory regimes an advantage
  • Ability to handle multiple tasks and work under pressure
  • Strong product knowledge and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
  • Strong interpersonal skills and effective written/oral communication skills
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
  • Attention to detail


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