University degree with minimum of 6 years of Compliance experience, ideally gained by working for a top-tier house or others with sophisticated market making/hedging business units and/or complex financing capabilities; Global Markets, and/ or Wealth Management experience preferred - Responsibilities include proactively managing and executing external audit engagements, collaborating with business and other control functions, identifying and reporting control issues, and developing recommendations to strengthen internal controls, prevent and remediate findings as appropriate. * Partner with business management, risk, compliance colleagues and other control groups to identify control issues or areas which might potentially result in an audit finding * Working with Legal, , Internal Audit, Technology, Operations (Client Onboarding) and other areas within Compliance (including the ...
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