Compliance Associate

Overview

We’re seeking someone to join our team as a Business Risk Product Specialist to support a critical function focused on ensuring compliance with international cross-border and jurisdictional rules. This role is responsible for ensuring that products such as syndicate offerings, structured products and alternative investments are offered to international clients following applicable regulatory requirements and Firm’s policies.

The successful candidate will gain valuable exposure to how jurisdictional regulations interact with product offerings and will play a key role in helping the firm navigate complex cross-border regulatory frameworks when delivering investment solutions to international wealth management clients.

• Assess client eligibility for purchasing specific investment products offered within IWM, including alternative investments, structured products, and syndicate offerings
• Review client documentation required according to client type, product and jurisdictional/regulatory requirements
• Ensure timely responses to trade requests
• Interact with the field to clearly communicate client eligibility criteria and applicable product restrictions

• 4+ years of experience in financial services
• BS/BA degree required. Advanced degrees a plus
• Prior experience in product, risk and regulatory compliance functions. Familiarity with MiFID II, PRIIPs, AIFMD and Reg S a plus
• High attention to detail with the ability to meet strict daily deadlines
• Excellent analytical and communication skills with the ability to articulate business, technical, and operational concepts to key stakeholders