Job Description
Responsibilities
- Provide technical and analytical support on operational business risk and compliance matters, including conflict of interest, handling of material non-public information (MNPI), client confidentiality, and business conduct standards.
- Assist in the review, tracking, and management of cases, requests, and clearances handled by the Operational Business Risk and Compliance Unit (OBRCU).
- Support due diligence activities through research, document review, and preparation of summaries and briefs.
- Coordinate with internal clients and maintain records, databases, and monitoring tools relevant to OBRCU work.
- Assist in drafting, updating, and formatting policies, procedures, guidelines, templates, and guidance notes.
- Support the maintenance of OBRCU knowledge repositories, databases, and document management systems.
- Conduct background research on regulatory developments and best practices relevant t...
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