Compliance Analyst/Associate

Roles within Compliance
- Operations, Technology, Finance and Services (OTF&S) Compliance:

OTF&S Compliance is focused on managing Compliance risks in the Operations, Technology, Finance, Services & HCM functions. The team works closely with the federation divisions to provide day-to-day advisory service on firm's policies and regulations that apply to these functions in the firm’s Bangalore office. Some of the principal responsibilities of the team includes: deploying an ongoing Compliance training and coverage program for the office, review regulatory changes and ensure the business is able to support them, develop appropriate policies & procedures, and participate in global project initiatives for OTF&S Compliance.

- Regulatory Audits and Inquiries Compliance
Part of the Compliance Division, the firm’s Regulatory Audits & Inquiries Group is a dynamic, global team charged with interfacing with regulators on regulatory exams, audits and inquiries in jurisdictions worldwide. the team has members in Salt Lake City, Jersey City, New York, London, Tokyo, Bangalore and Hong Kong.

- Private Wealth Management (PWM) Compliance
PWM Compliance takes an active role in assisting PWM Management to supervise the PWM business and provides on-going advice on various topics. The role will provide general compliance advice and support for the PWM business and covers a broad spectrum of responsibilities, including the core compliance activities of surveillance, review of marketing materials and training, as well as advisory and project work. You will also have good exposure to the regulatory environment and business activities of other regions.

- Asset Management Compliance
Compliance is a global team that supports the Asset management business by interpreting regulatory requirements, contacting for surveillance of activities, creating polices and procedures and training business professionals. AM Compliance works closely with dedicated personnel from the AM business, the legal department, technology and operations across the globe.

The principal responsibilities include:

conducting reviews of marketing materials, perform surveillance, review sample of trades for the desks to ensure adherence to procedures and fair allocation across accounts, organize and update AM training sessions and perform due diligence on managers

- Compliance Risk Control Group (Securities Division Compliance)
Compliance Risk Control Group (CRCG) as part of the Securities Division Compliance team provides coverage and support to the Equities Sales and Trading business for Asian countries. The primary responsibility of the CRCG team is to monitor and perform surveillances, enhance surveillance control, perform oversight and regular review of polices and procedures for various Asian countries.

- Market Surveillance Compliance
The Market Surveillance Group sits within the Compliance Surveillance Strategy Group, a centralized surveillance function within the Global Compliance Department. Market Surveillance focuses on firmwide information barrier surveillances and enforcement of firmwide trading policies.