U.S. Investment Bank - Associate/VP, Compliance Testing, APAC

Global Compliance

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.

Business Unit and Role Overview

Compliance Testing Group ("CTG") is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct investigative work covering the various firm businesses and divisions. The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to refine firm processes. CTG's global team (with locations in New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals, lawyers and traders). The individual will work closely with Compliance and business management, and gain an understanding of both the firm's businesses and the rules and regulations under which the firm operates.

This is an exciting opportunity for an individual who enjoys investigative work and possesses deep knowledge of sales and trading, portfolio management and/or risk management functions across a variety of asset classes. An ideal candidate will leverage their prior experience in sales and trading, strategist, market risk, product controllers, legal, or audit to investigate whether activities and practices comply with policies and regulations and the firm's compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and engineers.

Responsibilities:

• Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results
• Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
• Leverage strong communication skills to interact with Compliance and senior business management
• Team with colleagues around the globe to share findings and refine processes
• Execute multiple projects at the same time and meet tight deadlines

Basic Qualifications

• Bachelor's Degree
• Broad knowledge of financial products, markets, and laws and regulations in Asia. Or alternatively, knowledge of products, the securities business and sales practice/market conduct rules and regulations, i.e., prior experience in sales and trading, product controllers, compliance, legal, regulatory, audit or risk management functions
• Excellent written and verbal English skills, with ability to describe complex issues in a clear and concise manner
• Excellent interview, presentation, communication, time management, and analytical skills
• Integrity, motivation, intellectual curiosity, and enthusiasm
• Knowledge of Microsoft Word and Excel; additional knowledge of Alteryx is useful

Preferred Qualifications

• Financial instruments product knowledge (a Financial Engineering qualification, CFA, or FRM qualifications)
• Working knowledge of products offered by the Equities, Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks
• Compliance, auditing, testing, legal, or regulatory/law enforcement experience
• Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting or Big 4 financial services advisory firm, or a national regulator
• Fluency in Chinese, Korean, or Japanese beneficial