• Global Compliance – Compliance Technology Office – Delivery Management –Associate - Bengaluru

    Location(s) IN-Bengaluru
    Job ID
    Schedule Type
    Full Time
    Business Unit
    Surveillance Analytics
    Employment Type


    Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 



    Summary of the Role


    The Compliance Technology Office is looking for a tech-savvy delivery manager who can drive the delivery of detective monitoring projects (i.e., surveillances, investigation tools, etc.)  that cut across various teams and topics and have a strategic impact on the firm’s Compliance program.  Specifically, this role will focus heavily on delivery of Compliance projects, with a focus on prioritizing, tracking, delivering, and reporting. This is a hands-on role that requires a diligent, persistent delivery manager who understands Compliance and Engineering concepts. The ideal candidate should be a strong communicator with experience working with VP and MD-level stakeholders. As needed, the candidate would be expected to help enforce framework requirements and coordinate ad-hoc projects. Similar examples of recent initiatives that may be carried out in this role include:

    • Redesign and implemented a new global delivery management framework for Compliance Engineering
    • Coordinate within Compliance implementation of cryptocurrency trading

    Basic Qualifications

    • 4+ years of experience, preferably in consulting or financial services
    • Strong delivery and project management experience (e.g. create and manage project governance, run meetings, update stakeholders, create project plans)
    • Diligent, persistent, interpersonal, adaptable, comfortable with uncertainty
    • Technically savvy
    • Analytical and problem solving skills and experience working with and analyzing data (e.g., experience utilizing Excel, Alteryx, Tableau, etc.)
    • Working knowledge of financial markets and products
    • Excellent written and verbal communications skills
    • Prior exposure to surveillances is a plus, either designing/managing surveillance programs or performing surveillances.



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