Quality Assurance (QA) team is an integral part of the Controls environment within Compliance and is responsible for conducting a continuous analysis against internal procedures and regulatory requirements to ensure quality, completeness and accuracy. 

The QA team supports the review of activities performed by the Compliance teams that are responsible for overseeing Communications surveillance and monitor trading activities in adherence with regulations in the Firm’s respective regions of operation.  Specifically, responsible for monitoring of trade surveillance across all asset classes, information barriers surveillance and communications surveillance data, ensuring that the agreed monitoring and surveillance plan and agreed processes are being followed and are in adherence to the firm’s Policies. The QA Team supports review of DOI filing and reporting , that specifically monitors and discloses its interests in relevant securities to issuers, regulators and/or relevant markets, pursuant to the various laws and regulations across most global jurisdictions in which the Firm operates. The regulatory/legal reporting obligations relevant to DOI span multiple regimes, such as, Large Shareholder Reporting, Sensitive Industry/Foreign Ownership Threshold Limit Monitoring, Short Interest Reporting, Take-Over Reporting, Issuer Requests & Company Monitoring.

The successful candidate has strong processing and analytical skills; the ability to work independently, and is adaptable to change.  In addition, the candidate needs to demonstrate banking and compliance knowledge, the ability to exercise sound judgment and to observe the highest degree of confidentiality in the handling of information received in the course of their responsibilities.

Key Responsibilities:

Perform ongoing formal testing of completed Compliance cases to ensure Global standards are met and also make sure to maintain the highest level of confidentiality throughout the QA process, disclosing only pertinent information sent to key stakeholders Perform ongoing  independent testing on completed cases actioned by the Surveillance e-communications/Voice Communications/Trade Surveillance Team Review more complex trading activity and employee escalation and analyze large amounts of data gathered, appropriately disposition by utilizing analytical skills and research results Review the quality of completed cases using pre-defined test scripts which are based on Compliance and Quality Assurance standards and question/investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made (where appropriate) Identify key issues, risks, trends, observations and provide reporting of results to key stakeholders and also work with Global Partners to ensure consistency with the Global QA framework and governance approach  Perform root cause analysis and make recommendations for addressing identified deficiencies or improvements to business processes  and present findings via formalized feedback loop process, track and monitor corrections to identified critical defects   Consider regulatory requirements and best practices to implement changes to process 

Required qualifications, capabilities, and skills: 

6+ years of experience with Financial Services industry, Surveillance /Personal Account Dealing / Regulatory Reporting/Disclosure of Interest/AML/BSA,Screening, Compliance, Investigative or Quality Assurance background preferred Strong research, analytical and comprehension skills, with ability to analyze large amounts of data and proven ability identifying issues/defects and recommending solutions  Demonstrated experience adhering to controls and compliance standards  Bachelor’s degree in Finance, Economics, Forensic Accounting, Criminal Justice (focusing on financial crime) or equivalent work experience with strong Communication skills including written, verbal, and interpersonal  Results-oriented Team Player and ability to multi-task and meet deadlines against a high volume work schedule  Intermediate level skills working with the MS Office suite of tools, with an emphasis on Excel and Powerpoint and working knowledge of MS office & MS SharePoint