Compliance Monitoring Analyst

The Asset & Wealth Management Strategic Transformation Office is a recently established entity tasked with overseeing comprehensive large-scale transformations. This group comprises of four critical functions, including (1) Product Management & Design, (2) Change Management, (3) Regulatory Management, and (4) Monitoring & Testing.
The AWM Regulatory Management team manages the regulatory strategy and roadmap for the AWM business globally. As the key business partner for regulatory matters, the team is responsible for: 1) Regulatory Solutions; assessing the impact of regulations on business activities and 2) Regulatory Controls; ensuring a robust control framework is in place to evidence compliance.
Regulatory Solutions represent the views of the business on regulatory change governance forums and act as co-sponsors of new regulations. The team is responsible for performing detailed assessments on new regulations, identifying the impact on existing AWM capabilities and supporting the design of appropriate solutions to deliver regulatory requirements. The team also supports the launch of new products, funds or trading activity by advising on current live and new upcoming regulatory considerations.
Build a deep understanding of the Asset and Wealth Management business through analyzing the applicability and impact of regulatory policies and rules to each business area (new regulations and new business activities)
Simplify complex problems (regulatory challenges) by collaborating with the team, key stakeholders, and regulatory experts within the firm
Exert influence and impact, to drive business engagement and lead strategic cross divisional discussions on regulatory change matters
Deploy appropriate methodologies and governance tools, to drive the timely delivery of analysis and agreed solution approach (operational and technology driven)
Build strong senior stakeholder relationships that will be required when performing complex analysis across multiple businesses
Bachelor’s degree and 2+ years of experience in management consulting or related field in financial services with active involvement in new regulation assessments and implementations
Understanding of asset management products (closed/open funds, traditional and alternatives products), and the wider asset management operating model and ecosystems
Experience working as part of business or regulatory function owning the regulatory strategy, roadmap, analysis and interpretation of new regulations for the business
Strategic mindset with strong analytical, problem solving and critical thinking skills to provide creative and innovative solutions
Project Management experience including definition of business case and scope, articulation of issues, challenges, risks, dependencies and solutions
Strong communication and relationship-building skills
Experience in Reg product and platform management is preferable
Multi-task and can manage and advance multiple projects simultaneously
Proficiency in MS Office, PowerPoint, and Excel, with an ability to learn new tools quickly
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