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The Senior Compliance Analyst conducts risk-based compliance testing, monitoring, regulatory research, and control reviews for a consumer banking program. Responsibilities include identifying risks and control gaps, analyzing regulatory requirements and data, documenting findings, supporting remediation and regulatory change management, reviewing customer communications and digital content, and advising business stakeholders. The role collaborates with U.S. compliance, legal, risk, audit, operations, and business teams, and supports audits, regulatory examinations, and special projects.

Supports investment research and RIA teams through performance reporting, portfolio attribution, benchmarking, risk analysis, model oversight, advisor-facing materials, and automated analytics. Builds scalable reporting solutions using Power BI, SQL, Python, and Dataiku while maintaining data quality through reconciliation, validation, documentation, and governance. Partners with investment and business teams to deliver portfolio insights and support advisor adoption and business growth.

Lead discovery and solutioning for AI and automation across business processes. Elicit requirements, map current/future states, produce functional requirements and user stories, coordinate testing and UAT, analyze data to size opportunities, and present recommendations to senior leaders while supporting end-to-end implementation and change readiness.

Supports advisors, traders, and home-office staff with trading questions, order processing, trade allocation, reconciliation, settlement issue resolution, and regulatory reporting. Assists with execution-quality analysis, report creation, policy compliance reviews, risk mitigation, and process improvements. Provides backup support across Capital Markets Trading and participates in special projects.

Provides operational and technical support to North American fixed income investment teams. Responsibilities include designing workflows and procedures, supporting reporting, onboarding, reconciliations, issue resolution, Aladdin and platform enhancements, stakeholder coordination, compliance support, and managing small to medium-sized projects and enhancement requests.

Manage digital marketing and prospecting for financial advisors by maintaining websites, social media, email and drip campaigns, mobile outreach, CRM prospect tracking, scheduling, and reporting. The role generates qualified leads, supports advisor relationships and client acquisition, ensures regulatory compliance, and delivers marketing performance insights. Work is primarily office-based with an evening shift of 4:45 p.m. to 1:15 a.m. IST.

Plan and execute internal audit, risk, control, and SOX/MAR/FDICIA compliance activities. Assess risks, identify control deficiencies, recommend remediation, monitor management action plans, and present findings to management. Lead assigned projects, coordinate with control groups, manage scope and timelines, and recommend improvements to audit plans, processes, and methodologies.

Supports daily portfolio operations, validation, monitoring, rebalancing, trade execution, corporate actions, settlement issue resolution, and process improvement. The role collaborates with portfolio managers, operations teams, vendors, counterparties, and distribution partners while ensuring data accuracy and operational risk control. Responsibilities also include reviewing client proposals, developing documentation, identifying automation opportunities, and supporting business development activities.

The role involves managing client activities in a financial institution, primarily focusing on onboarding, addressing client queries, and improving client management processes, while collaborating with internal teams and ensuring excellent service delivery.

Plans and executes complex internal audit, risk, control, and SOX/MAR/FDICIA compliance activities. Identifies control deficiencies, assesses risks, recommends corrective actions, validates management action plans, leads audit projects, supervises others, and presents findings to management. Coordinates with control groups, manages project scope and timelines, performs risk assessments, and improves audit processes and methodologies.