Markets Legal and Regulatory Change Management – Associate

You are a strategic thinker passionate about driving solutions in Controls Management. You have found the right team.

As a  Markets Business Controls Management Associate in our Finance team, you will spend each day defining, refining and delivering set goals for our firm. You will have global coverage and support the front office Markets Sales, Trading and Research franchises in the measurement, management and reporting of Compliance Risk.  This involves the identification of risks and controls which are relevant to statutes, laws, rules and regulations which govern the activities of the Markets businesses, and the subsequent assessment of residual risk.  You will be managing the non-financial / operational risk of the front office businesses and also maintaining an inventory of applicable statutes, laws, rules and regulations, and proactively manages the pipeline of regulatory change. 

Job Responsibilities

• Efficiently execute the identification of controls relevant to specific statutes, laws, rules, and regulations ('legal obligations').
• Actively participate in associated quality reviews and ongoing data hygiene activities.
• Effectively support the preparation, interpretation, and review of Compliance Risk Assessments.
• Continuously keep the control tagging evergreen as the underlying control framework and population of associated legal obligations evolve.
• Expertly develop and deploy subject matter expertise of local business activities, applicability of rules and regulations, and the local legal and regulatory framework.
• Capably represent Markets in working groups and other meetings for specific Compliance Risk framework requirements.

Required Qualifications, Capabilities, And Skills

• Minimu 5 year career focused on the capital markets regulatory rules issued by the major agencies that cover equities, currencies, commodities, credit, municipal bonds and structured products
• Practical knowledge of trading room operational risk, supervisory preventative and detective controls and end-to-end deal flow from pitching to settlement
• Experience in supporting risk and control identification and implementation
• Analytical thinker who can interpret regulatory rules, form fact-based conclusions and identify new risks to sales and trading activities. Must have the ability to synthesize large volumes of information and draft key messages for senior leaders
• Demonstrate sound judgment, maturity, and poise to influence and collaborate with capital markets personnel
• Energetic, self-motivated, and thrives in the challenge of simultaneous work-streams

Preferred Qualifications, Capabilities, And Skills

• Adept at interpreting legal text as a layperson (note: formal legal qualifications are not required)
• Knowledge of Markets products and businesses