Assistant Vice President - Personal Account Dealing / Employee Conduct

Job summary:

As part of the Compliance team, you will be responsible for the end-to-end management of the Personal Account Dealing process across all lines of business and regions. This includes leading a team of professionals, setting strategic direction, optimizing processes, and ensuring robust controls. The role requires strong people management skills, the ability to influence stakeholders, and a focus on delivering high-quality outcomes. You will collaborate with global partners, support regulatory and audit reviews, and champion a culture of Compliance, integrity, and inclusion.

Job responsibilities:

• Lead and manage the Personal Account Dealing team, ensuring effective execution of personal account dealing reviews, surveillance, and compliance monitoring in line with firm and regulatory standards.

• Develop and execute the annual Personal Account Dealing testing and surveillance plan, identifying control gaps, escalating issues, and driving timely resolution.

• Assess and communicate emerging risks, trends, and issues to leadership, providing clear recommendations and supporting root cause analysis.

• Collaborate with cross-functional partners—including Legal, Audit, and Compliance—to align on priorities, share insights, and support regulatory and audit reviews.

• Analyze data from multiple sources to identify patterns, support findings, and enhance the effectiveness of Personal Account Dealing controls and processes.

• Drive process improvements and automation initiatives, seeking opportunities to simplify, standardize, and strengthen Personal Account Dealing activities.

• Provide regular updates and actionable insights to senior management and stakeholders, ensuring transparency and accountability.

• Foster a culture of Compliance, operational excellence, and continuous improvement within the team.

Required qualifications, capabilities, and skills:

• Bachelor’s degree or higher with a minimum of 8–10 years’ experience in Compliance, Risk, Operations, Audit, or related areas within the financial services industry, including at least 2 years in a people management or team leadership role.

• Demonstrated experience in managing, coaching, and developing teams, with a focus on performance, engagement, and fostering an inclusive culture.

• Strong knowledge of financial markets, products, and compliance requirements related to employee personal trading and operational risk.

• Ability to prioritize work, meet deadlines, and achieve goals under pressure in a dynamic and complex environment.

• Excellent analytical, problem-solving, and decision-making skills, with the ability to identify and address risks, control gaps, and process inefficiencies.

• Strong relationship-building skills to influence, negotiate, and collaborate with colleagues, senior management, and stakeholders across functions and geographies.

• Excellent interpersonal and verbal/written communication skills, with the ability to present complex information clearly and effectively.

• Ability to perform end-to-end reviews of processes, assess risks, understand applicability of regulations and policies, and identify gaps in the operating environment.

• Strong organizational skills, attention to detail, and ability to manage multiple priorities simultaneously in a fast-paced setting.

• Ability to innovate, challenge the status quo, and identify opportunities for automation and process re-engineering.

Preferred qualifications, capabilities, and skills:

• Proven experience in leading process automation, robotics, or digital transformation projects within compliance or risk management, resulting in measurable improvements to operational efficiency and control.

• Prior involvement in regulatory examinations, internal audits, or remediation initiatives, with a demonstrated ability to support documentation, respond to findings, and implement corrective actions.

• Successful track record of managing geographically dispersed teams or cross-regional compliance programs, including coordination across multiple time zones and cultures.

• Familiarity with emerging technologies, industry trends, and best practices relevant to compliance surveillance, operational risk, and personal account dealing, with the ability to assess and adopt innovative solutions.