Global Compliance Operations Job Description
Global Compliance Operations Duties & Responsibilities
To write an effective global compliance operations job description, begin by listing detailed duties, responsibilities and expectations. We have included global compliance operations job description templates that you can modify and use.
Sample responsibilities for this position include:
Global Compliance Operations Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Global Compliance Operations
List any licenses or certifications required by the position: ACAMS, ASQ, CISA, AML, CISM, CISSP, PMP, CRMP, CRMA, NYSC
Education for Global Compliance Operations
Typically a job would require a certain level of education.
Employers hiring for the global compliance operations job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Sound, Business, Finance, Management, Economics, Technology, Criminal Justice, Forensic Accounting, Law, Project Management
Skills for Global Compliance Operations
Desired skills for global compliance operations include:
Desired experience for global compliance operations includes:
Global Compliance Operations Examples
Global Compliance Operations Job Description
- Interpret and document the business requirements for Anti Money Laundering technology projects to support the Investigations teams globally
- Understand how data is utilized within the Compliance organization and the impact data quality issues have on DOI regulatory reporting
- Maintain a robust controls framework across the global team, engaging regularly with regional Controls partners, ensuring processes remain consistent across regions and other Data Pillars within the Compliance Operations group
- Assist in driving the agenda to build out a strong support presence for the EMEA Compliance teams as they migrate to the strategic DOI platform, defining a comprehensive interaction model
- Function as a key contributor with demonstrated knowledge of Anti Money Laundering/Fraud Investigative and SAR experience, broader functional knowledge
- Review and analyse raw transaction data to identify top transactors and their counterpart any risks, trends, and potential suspicious activity
- Ensure complete, accurate & timely availability of transaction & position level information (Alert Management/Data Quality checks/End to End traceability controls)
- Entitlements management
- Manage and maintain internal reference data
- Regulatory/Other impact analysis & action
- Proven ability to organize, summarize, clarify and communicate ideas simply, succinctly and accurately
- Proven ability to lead and coordinate efforts of a team to achieve results
- Working knowledge of BSA/AML, and other AML regulatory policies, with a good understanding of AML typologies the ability to apply and explain regulatory concepts
- Multilingual skills preferred (such as French, German, Italian)
- Knowledge of International Sanctions
- Rules management
Global Compliance Operations Job Description
- Establish and maintain partnerships with various teams including GFCC Investigation units, Technology, Alert teams, Coverage Strategy and within Compliance Operations – across regions, to maximize efficiencies and ensure consistency
- Documenting the current operating environment, identifying areas for improved efficiencies and internal controls, , working with senior team members to implement the strategic operating environment and technology infrastructure
- Correspond with customers as required by and in conformity with FINRA regulations and SEC rulings
- Review all complaint filings on behalf of JPMS, Private Bank and the Investment Bank
- Perform Daily Peer Reviews of intake cases logged
- Consolidate complaints against Operation (Broker Service Center) RRs and send to Market Directors
- Identify sales practice concerns and refer matters when appropriate to the firm's Risk, Examination and/or Surveillance Groups for possible corrective and/or disciplinary action
- Review and reconciliation of employee pre-cleared transactions vs
- Respond to regulatory, audit or control–related inquiries from business partners or management
- Collect and document data, including alert, investigation, or SAR history
- Effective management skills - must be able to manage up, across and down the organization
- A working knowledge of the Regulatory requirements (SEC 13F/G Reg
- Comfortable user of Microsoft Office
- Comfortable use of Microsoft office ( ie
- Strong presence with Business partners
- Familiarity with complex legal and regulatory issues
Global Compliance Operations Job Description
- Drive strong communication and training programs to drive employee awareness about their integrity obligations and confirm effective delivery and work proactively with all team members to drive compliance communications and guidance, assuring customer satisfaction, including leading any regional Compliance Review Board
- Be a key member of the Global Compliance Leadership Team (GCLT) and acts as Deputy to the Chief Compliance Officer when necessary
- Lead GMA CIA compliance reporting consolidation and drive business efficiencies across the GMA Compliance Program
- Partner with operations managers during internal and external audits to include SOX, SOC1, and Compliance reviews
- Lead multiple strategic and/or operational initiatives within Global Compliance
- Play a vital role by working with business leaders to design, implement and evaluate the effectiveness of enterprise-wide compliance projects, programs and processes
- Lead the direction, planning, and execution of Global Medical Affairs (GMA) Compliance Operations across all Therapeutic Areas (TAs) and functional teams, including marketed and pipeline assets
- Accountable for the ongoing revision and development of policies and procedures that ensure GMA Medical Affairs practices are within FDA and Regulatory guidance and compliance
- Ongoing management and optimization of technology, automation, resource management, and reporting across multiple teams required to achieve compliance standards
- Assist in driving the agenda to build out a strong DOI support presence across the APAC region
- Strong knowledge of public record databases including
- 5+ years experience managing people in an Operations role
- Broad understanding of data and its relative concepts (Measures , Dimensions )
- Advanced proficiency with Microsoft Excel including the ability to create a pivot, run a macro, and use shortcuts and Control keys
- The candidate must be a self-starter who is able to work in a fast paced, results driven environment and capable of communicating and escalating appropriately across a large senior audience
- Proficiency with Microsoft Office Word and PowerPoint
Global Compliance Operations Job Description
- Assist Due Diligence Leaders with compliance due diligence operations such as report creation and adverse media and litigation research
- Lead the development of a Global Inspection Readiness Program that will drive compliance and continuous improvement across Global Operations
- Responsible for management & oversight of Regulatory Compliance across Global Operations
- Develop a process for identification and management of the top compliance risks across Global Operations Functions, which will also include analysis of audit & inspection data
- Support the investigation of Quality/Compliance issues
- Maintain the budget for Global Quality Compliance
- Lead and oversee the resolution of day-to-day data issues, including reconciliation breaks, missing / incomplete feeds, record volume spikes and any other ad hoc data problems referred to the team
- Partner closely with key stakeholders to ensure data issues are documented per established governance models, analysis performed, and remediation plans determined
- Continue to evolve the global teams processes and operating model as the DOI program rolls out globally
- Support the teams technology agenda, ensuring DOI and Data Management projects teams remain fully aware of the teams technology requirements and as functionality is delivered the team are fully involved in the testing cycle
- Will be responsible for the processing of regulatory request related to Electronic Blue Sheet Submissions (EBS)
- The maintaining and tracking of all EBS documentation
- Must be able to quickly identify and escalate potential compliance issues across asset classes
- Work with our business partners in Legal, Compliance and Operations in fulfilling the requirements to obtain and analyze relevant data to respond to regulatory requests
- Experience with Electronic Blue Sheets (EBS) and/or other Regulatory Trade reporting background
- 3+ years of securities experience with a focus on trading desk compliance preferred
Global Compliance Operations Job Description
- Supports risk assessment, auditing, monitoring, investigations, and other Global Compliance activities
- Conduct complicated investigations requiring reconciliation of multiple investigative data sources with little management oversight
- Supports the Global Compliance Leadership Team regarding enterprise wide program development, enhancements and strategy
- Acts as liaison for Regional Compliance Officers to implement best practices consistently across regions
- Manages the development, implementation, and maintenance of the global compliance policy and procedure framework
- Manages the development of global compliance training and communication content, audience identification and completion tracking
- Leads the execution and enhancement of the global compliance due diligence process
- Accurate ingestion of requests into Case Management System
- Validate and enrich request data received from the business
- Set up and allocate DDR requests in accordance with procedures to either in house, local and global teams or third party vendor
- Strong Excel, PowerPoint, Access, Word, Project and Visio skills (experience with VBA macros a plus)
- Preferred experience in AML, Compliance, or related position AND/OR relevant course work in criminology, law, logic auditing and other business courses
- Knowledge of equities, list options, fixed income and OTC derivatives trading and structured products
- Strong Microsoft Excel skills, including VLOOKUP, Pivot Tables and Macros
- Ability to work collaboratively and multi-task effectively in a team environment
- Due to tight deadlines, candidates must be prepared to sometimes work outside normal business hours or on public holidays to meet reporting obligations