Compliance, PWM Compliance, Analyst/Associate


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.

The role of Compliance within PWM is to partner with the business in order to conduct and supervise its business in compliance with regulations and firm policies, develop new policies and controls as the business grows and expands, help to reduce the firm's regulatory and reputation risk, and reinforce the firm's culture of compliance.



Job Summary & Responsibilities

Private Wealth Management ("PWM") Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes. The Global Projects team within PWM Compliance is at the forefront of all new business initiatives for PWM. We are looking for a team member who wants to be part of growing the business in new dimensions - someone who is equal part visionary and executor. At times, the role will require you to navigate unchartered territories and problem solve with multiple teams and stakeholders. The selected candidate will need to be very comfortable working across business and Federation teams and be an excellent communicator.

Basic Qualifications

  • Undergraduate degree
  • 3-5 years of experience in the financial services industry
  • Strong project management skills and ability to see a task to completion
  • Understanding of standard system implementation methodologies
  • Excellent written and verbal communication skills and ability to interact with senior leaders across departments
  • Expertise in delivering high quality work products, reflecting attention to detail and analytical prowess
  • Ability to quickly grasp complex concepts, including global business and regulatory matters
  • Professional maturity and confidence in expressing a point of view with senior management
  • Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment

Preferred Qualifications
  • Organize, plan and execute on key milestones that deliver innovative solutions to business, compliance and technology-related challenges
  • Execute multiple complex initiatives many of which require robust technology solutions
  • Proactively contribute to and drive strategy across PWM Compliance programs
  • Partner with the PWM Technology, PWM Operations and PWM Business teams to enhance governance processes in support of infrastructure builds and oversee strategic compliance / business solutions



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