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Regulatory Compliance and Risk Analyst

A leading player in the Fixed Income Capital Markets is seeking a Compliance and Risk Analyst for their Legal department.

This position assists in managing the Company's Compliance Program and also aids in the Risk Management operations

Your role

• Assist the Senior Manager in overseeing and enhancing the enterprise-wide Compliance Program.
• Develop and manage Compliance policies and procedures, ensuring they meet industry standards and regulatory requirements.
• Manage compliance and risk modules in the Governance, Risk, and Compliance (GRC) tool, including updating the compliance inventory and maintaining risk and control libraries.
• Conduct compliance risk assessments, devise annual review plans, analyze compliance gaps, and monitor gap remediation.
• Execute second-line control testing using a risk-based approach, document procedures, and track issue remediation.
• Aid the Director of Operational and Vendor Risk in managing enterprise-wide operational risks.
• Participate in annual Risk Control Self-Assessment, Business Impact Analysis, and Business Process Analysis, reviewing business processes and risks.
• Implement data management processes for Compliance and Risk Management, ensuring data accuracy and availability.
• Develop systems for data collection and visualization, preparing reports for Compliance and Risk Management.

Qualifications

• Bachelor’s degree in a related field
• A minimum of 3-5 years of professional work experience in compliance, risk management, internal audit or another related field in the Financial Services Industry
• Familiarity with compliance, risk management, and governance best practices.
• Experience with regulated financial institutions desired.
• Skill in collecting, organizing, and analyzing data accurately.
• Knowledge of data models, database design, data mining, and segmentation is beneficial.
• Strong writing, research, analytical, and verbal communication skills.
• High attention to detail and strong organizational abilities.
• Proactive in problem-solving and adapting to changing needs and regulations.
• Ability to build effective stakeholder relationships and foster teamwork.
• Competence in managing multiple projects and prioritizing tasks.
• Excellent judgment, professional integrity, and a strong work ethic.
• Proficient in MS Office, especially advanced MS Excel functions.
• Skill in listening, integrating diverse viewpoints, and collaborative problem-solving.
• Proof of eligibility to work in the United States.