Compliance Manager, Data Analytics

Job Description Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience to ensure the tactical and strategic success of the firm’s Compliance Surveillance program. This includes but is not limited to building Qlik dashboards and reporting for repeatable Risk Metric production, Regulatory discovery analysis, logic development/coding for rollout of new Compliance Surveillance controls, data modeling & charting, ETL processes plus migration on source data, and being a general utility between Industry Rules and Compliance needs to help mitigate firm risk.

Reporting to the Director of Compliance Data Analytics Program, the role is responsible for creation & maintenance of custom internal technology solutions, requiring skillsets in both technical development and data analytics end user tools, debugging & testing, data quality assurance and cleansing, and general data gathering from across the firm.

• Builds and maintains Compliance Surveillance controls covering business entities such as: PCG, GEIB, Advisory & Product areas, RIA & Custody Services.
• Designs custom Compliance dashboards self-service driven model charting to identify key risks, builds data models for integration amongst disparate data sources, QA/Test to ensure validity and transparency of source data.
• Collaborates with Compliance Leaders as well as IT leaders to ensure legitimacy and correctness of data sources
• Tests all outputs against verifiable sources to ensure delivery of Surveillance Controls & Reporting to ensure accuracy.
• Evaluates scope and selects technology components for designing appropriate solutions during development.
• Designs and implements highly customized large scale data solutions that augment risk mitigation.
• Performs extensive analysis of database entities, relationships and attributes.
• Participate in both data design and data processing sessions for assigned projects and teams.
• Optimize ETL processes using Microsoft SQL Server or AWS Redshift best practices.
• Evaluate the content, accuracy and completeness of data models and file specifications.
• Coaches, trains, and mentors less experienced Compliance Specialists.
• Ensures that compliance activities are commensurate with the level of risk being mitigated.
• Provides escalated support and guidance to compliance efforts in assigned business entity.
• Assists management to implement adequate controls and processes to detect and address potential compliance problems.
• May make risk-based recommendations to Senior Management using industry knowledge.
• Routinely interacts with Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and associates, Supervision & Supervision management.
• Prepares and delivers written and oral presentations to management.
• Performs other duties and responsibilities as assigned.

• Advanced data analytics concepts.
• Concepts, practices, and procedures of securities industry preferred.
• Control functions such as Compliance, Supervision, or Financial Crimes.
• Fundamental investment concepts, practices and procedures used in the securities industry.
• Financial markets and products.

• Common SQL language.
• Qlik dashboard development and data manipulation.
• AWS Redshift querying and navigation
• Written and verbal communication.
• Providing support and guidance for compliance efforts.
• Identifying and implementing controls and quality assurance processes.
• Researching compliance issues.
• Gathering information and preparing oral and written reports.
• Preparing and delivering written and oral presentations.
• Investigating relevant irregularities.
• Operating standard office equipment and using required software applications.

• Provide training, coaching, and mentoring for others.
• Partner with other functional areas to accomplish objectives.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
• Attend to detail while maintaining a big picture orientation.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Work under pressure on multiple tasks concurrently and meet deadlines in a…