Regulatory Due Diligence

This institution is a leading global financial entity offering a wide array of services including investment banking, asset management, and private wealth management. Renowned for its commitment to customer service, integrity, and fostering sustainable economic growth, it operates a worldwide network aimed at serving corporations, institutions, governments, and individuals. With a legacy of excellence and innovation, it is focused on turning insights into opportunities, providing expert advice, and delivering comprehensive solutions across both public and private markets.

Key Responsibilities:

• Regulatory Compliance: Ensure thorough due diligence is conducted in line with CFTC Dodd Frank, SEC SBS, and EMIR regulations.
• Policy Expertise: Develop a deep understanding of the firm’s regulatory due diligence policies.
• Account Management: Approve the opening of new accounts ensuring compliance with regulatory frameworks.
• Process Design and Improvement: Continuously design and update procedures to reflect regulatory changes and improve process efficiency.
• Stakeholder Coordination: Work closely with both internal and external clients to gather necessary onboarding documents and requirements.
• Client Communication: Handle queries related to client accounts and relationships and ensure all communications are maintained at the highest professional standard.
• Project Management: Manage projects ranging from small enhancements to large-scale, global initiatives.
• Risk Management: Timely and effective escalation of potential issues with actionable resolutions.
• Reporting and Efficiency: Develop required reports, maintain workflow clarity and consistency, and implement operational efficiencies.
  
  

Skills and Experience Required:

• Educational Background: Bachelor’s degree in a relevant field.
• Communication Skills: Exceptional written and oral communication abilities.
• Professional Confidence: Ability to engage effectively and persuasively with clients and senior management.
• Critical Thinking: Strong analytical skills and problem-solving capabilities with meticulous attention to detail.
• Proactivity and Ownership: Highly self-motivated with a proven track record of taking ownership and accountability of projects.
• Teamwork and Relationship Building: Excellent interpersonal skills and experience in managing stakeholder relationships on a global scale.
• Technical Proficiency: Well-versed in Microsoft Office and proficient with web-based applications.

What We Offer:

• Competitive salary and benefits package.
• Opportunities for professional growth and advancement.
• A dynamic and inclusive work environment.

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