We are looking for an Analyst who is passionate about risk and controls and can be a part of the GBM Regulatory Controls team, providing assurance for non-financial regulatory compliance and monitoring functions.
OUR IMPACT
GBM Regulatory Controls supports the objectives of Regulatory Operations by overseeing the control design, control enhancements, and control framework of non-financial regulatory reporting obligations. This provides essential transparency into financial markets and reduces systematic risk.
GBM Regulatory Controls provides assurance for the completeness, accuracy, and timeliness of regulatory submissions through control assessments, data testing, control gap identification, and control enhancements.
GBM Regulatory Controls Mission Statement
To drive improvement in the control framework for Non-financial Regulatory Reporting through the application of control assessments, utilization of business intelligence tools, and control framework uplift.
The GBM Regulatory Controls team offers specialist skill sets and technical knowledge in the areas of Regulatory Reporting, Data Analysis, and data integrity controls.
JOB SUMMARY & RESPONSIBILITIES
The Analyst would be involved in helping the team develop and achieve its strategic objectives, with Control Assessments & analytics driving a notable proportion of their overall day to day responsibilities.
Control Assessments entail validating the data reported and ensuring reporting functions are compliant with regulatory requirements and our control framework standards. The Analyst will be accountable for the quality assurance of the information we send and ensuring potential issues are quickly escalated and remediated. The candidate will need to engage with their global GBM Regulatory Operations and Engineering groups, Legal, and Compliance. Relevant obligations may include MIFID II, EMIR, SFTR, CFTC, CAT, EBS, SEC/SBS, TRACE, MSRB, among other regulatory obligations.
We will also expect the successful candidate to contribute to the continuous improvement of our Analytics and Business Intelligence focus. Our partners in GBM Regulatory Operations and Engineering groups gather and manage a vast array of data and processes which contribute to the firm’s regulatory compliance; our role is to provide assurance to the firm with respect to regulatory reporting compliance.
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Experience with data analytics over large data sets, understanding the detail and identifying possible issues with accuracy, completeness, and timeliness.
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The candidate should possess a minimum of 1-3 years overall working experience.
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Strong teamwork is essential, as well as the ability to build cross functional and divisional relationships that benefit all parties. Working across geographic as well as cultural borders to ensure the success of the GBM Regulatory Controls functions.
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Strong organizational skills and the ability to adapt with rapidly changing priorities are also essential.
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Strong attention to detail and the ability to keep track of a large and varied workload
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Highly articulate with strong verbal and written communication skills
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Bachelor’s degree, * Experience in an Operations Control Environment
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Working knowledge about financial markets, regulatory landscape, and associated processes
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Experience with regulatory reporting or regulatory controls
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Working knowledge of financial products, e.g., equities, fixed income, exchange traded derivatives, OTC derivatives.
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Experience in a global firm with Risk and Control / Audit / Legal / Compliance / Project Management background
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Working knowledge about project management and business analysis
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Experience handling, managing, or contributing toward responses to regulatory enquiries
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Working experience with operating on large data sets and BI tools (including SQL and Alteryx
Contact Detail:
NCAA Recruiting Team
