GLOBAL COMPLIANCE - GCES - OPERATIONS - ANALYST

Overview

The Global Compliance division works to prevent, detect, and mitigate compliance, regulatory, and reputational risks across the firm while fostering a strong culture of compliance. Through its enterprise-wide risk management program, the division functions as an independent control group and part of the firm’s second line of defense .

Compliance teams assess reputational risks, ensure adherence to new and existing regulations, design and implement controls, policies, and procedures, and manage responses to audits, examinations, and regulatory inquiries.

The Global Compliance Employee Services (GCES) team specifically oversees employee-related compliance matters, including :

• Licensing and registrations
• Employee disclosures
• Approval of outside brokerage accounts, private investments, outside interests, and political contributions
• Pre-clearance and monitoring of employees’ personal trading activities

You’ll work alongside professionals from diverse backgrounds—law, accounting, trading, and more—developing expertise in a dynamic and evolving regulatory environment.

Principal Responsibilities