Live Connections | Compliance Specialist
1 week ago
Dear Applicants,
Job responsibilities :
• Possess expertise in key areas of Capital Markets and Asset Management, such as Investment Compliance, Trade and Market Surveillance, Conduct Risk, Security Operations, and Wealth Management Operations.
• Knowledgeable about U.S. and International Banking or Capital Markets regulations (e.g., SEC, FINRA, DOL, FCA, CFTC, EBA).
• Understand financial products across asset classes, including Equities, Fixed Income, Currency, and Derivatives.
• Collaborate with subject matter experts in risk management to assess capability gaps, design future states, and outline implementation strategies.
• Lead large transformation/implementation projects, including requirement gathering, data analysis, and gap analysis, converting business requirements into functional specifications, and coordinating testing.
• Support the implementation of complex regulatory initiatives (e.g., Basel IV, CCAR, FRTB, CECL, Libor transition) by drafting position papers, business and functional requirements, test plans, and user guides.
• Conduct capital and liquidity assessments and support capital optimization programs.
• Validate capital plans, resolution plans, and QIS submissions.
• Develop risk registers, conduct RCSAs, define KRIs, and manage risk scenario libraries and analyses.
• Establish/review processes, controls, and technology infrastructure for regulatory report production/attestation (e.g., FR-Y14A/Q/M, FR-Y9C, FFIEC 101, COREP, FINREP, FR2052a, LCR, NSFR).
• Understand risk regulatory frameworks of major economies (e.g., US, EU) and principles such as Basel II/III, Dodd Frank, ICAAP, MIFID II, IFRS9, PSD2.
• Manage program management offices for large change management initiatives.
• Optimize AML & KYC processes, focus on Fraud Risk Management, Compliance Analytics, Enterprise Risk Management, Data Analysis & Aggregation, Trade Surveillance, and Robotic Process Automation.
• Support pursuits and market-facing eminence efforts.
• Engage in stakeholder management and problem-solving with strong communication skills.
Required skills
• 4-8 years of experience in any/all the above areas is preferred:
• Working for financial services consulting firm, a large bank, or broker-dealer
• Working for the U.S. or International Banking or Capital Markets Regulator (e.g. SEC, CFTC, EBA, FCA etc.)
• Exposure to working in globally distributed workforce environment including onshore and offshore.
• Excellent communication and interpersonal skills to discuss requirements and their solutions with Front office users such as PM and Traders
Qualification
• Master’s degree in Finance/ Master of Business Administration (MBA)
• Bachelor’s degree in Engineering, or other related technical discipline
• FRM and/or CFA certification preferred
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