Do you have a passion for compiling and analyzing financial data and related information to solve varying and complex suitability and conflicts of interest related issues? Are you able to manage complex and varied projects in an efficient and effective manner? Do you enjoy collaborating with colleagues to obtain information and solve problems? We're looking for someone who can:

• Analyze exception-based monitoring reports for potential violations.
• Ensure compliance with regulatory and Firm policies and procedures.
• Use Firm systems to review relevant activity
• Perform reviews in a timely manner.
• Investigate and escalate issues as necessary and document the resolution and any corrective action taken.
• Interact with divisionally aligned Legal and Compliance staff and other business areas to discuss, progress, and resolve issues arising from the monitoring program.
• Identify patterns and contribute to management reports for statistics and appropriate escalation of significant issues and accomplishments.
• Mitigate risk, by alerting management when an existing control is not working and/or when you see that there is room for improvement.
• Design, test, and implement new controls as the need arises.