Risk Management- Conduct Senior Officer- Associate

Join a high-impact Compliance team safeguarding our firm’s integrity. You’ll lead investigations, issue violations, and elevate our control environment across lines of business. Partner with global stakeholders, shape strategic initiatives, and strengthen our regulatory posture. If you thrive in fast-paced, results-driven environments and uphold the highest standards of confidentiality, this role is for you.

As a Personal Account Dealing Investigations and Violations Compliance Officer in Personal Account Dealing Compliance, you will lead end-to-end investigations and enforce the firm’s violation framework to ensure consistent, well-documented outcomes. You’ll conduct quality reviews, resolve employee inquiries with precision, and collaborate across LOBs, Global/Regional Compliance, Internal Audit, Operational Risk, and other Control functions. This role offers the opportunity to drive strategic initiatives, enhance processes, and influence corrective actions that strengthen our global compliance mandate.

• Investigate potential personal account dealing breaches and issue violations per the firm’s violation framework.
• Perform quality assurance reviews of closed cases to ensure complete, accurate documentation aligned to procedural guidelines.
• Respond to employee inquiries with professionalism, clarity, and a high degree of accuracy.
• Identify control gaps and emerging concerns, determine root causes, and ensure stakeholders implement timely corrective actions.
• Collaborate with colleagues across LOBs and control partners; actively contribute to working groups and forums.
• Execute key strategic Compliance initiatives supporting the firm’s global compliance mandate.
• Provide business analysis and process improvement support to optimize case management and reporting.
• Maintain strict confidentiality and exercise sound judgment in handling sensitive information.
• Leverage computer-based systems and tools to manage cases, track metrics, and produce management reporting.
• Create and refine process maps and workflows to improve consistency and operational efficiency.
• Promote a culture of compliance, risk awareness, and continuous improvement.

• Bachelor’s degree and/or 1+ years of equivalent work experience in financial services.
• Demonstrated ability to identify key issues, gather facts, and perform structured analysis to drive decisions.
• Strong oral and written communication skills with attention to detail and clarity.
• Intermediate proficiency in Microsoft Excel (pivot tables, macros, data analytics).
• Proficiency with PowerPoint, Visio (process mapping), and Outlook.
• Experience handling numerous confidential and sensitive reviews in a fast-paced, deadline-driven environment.
• Strong analytical and problem-solving skills with the ability to make sound, autonomous recommendations and decisions.
• Flexible, adaptable work style; able to collaborate effectively with stakeholders at all levels.
• Proven ability to manage changing priorities and perform well under pressure.
• Quick learner, team player, results-oriented, self-motivated, with flexibility in work hours.
• Proactive, logical thinker who appropriately challenges the status quo and drives continuous improvement.

• Strong securities background.
• Experience partnering with Global/Regional Compliance, Internal Audit, Operational Risk, and Control functions.
• Advanced Excel capabilities beyond intermediate (e.g., enhanced automation/macros, analytics).
• Demonstrated experience conducting quality assurance/quality control reviews of case files.
• Expertise in Visio process mapping and process optimization.
• Familiarity with personal account dealing policies, surveillance, and case management workflows.
• Experience contributing to or leading cross-functional working groups and strategic initiatives.