Regulatory Control Specialist
4 days ago
Job Description:
We are looking for an experienced Regulatory Control Specialist to join our Operations Risk & Regulatory Control Division. The successful candidate will be responsible for building a detailed understanding of each exception type to ensure accurate filings.
Key Responsibilities:
- Monitor and report on exceptions to identify potential disclosure obligations
- Develop knowledge of security transactions and various product types
- Acquire intricate knowledge of firm systems, data sources, and processes
- Closely communicate with the dedicated compliance team
- Identify and implement process improvements
- Provide support to other members of the team
Requirements:
- Minimum 3-5 years of experience in risk management or regulatory control
- Advanced knowledge of trade flows and operational models
- Excellent verbal and written communication abilities
- Ability to absorb information quickly and learn from experience
Team Environment:
The Operations Risk & Regulatory Control Division is a global team with over 150 team members across the Firm. The successful candidate will work closely with the dedicated compliance team to ensure accurate filings and reporting.
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