Summary

Associate Principal, Compliance Monitoring

This role will report to the Director, Compliance Monitoring, and will assist in the development, facilitation, and execution of monitoring, surveillance, and risk identification tools within the Compliance Assurance and Monitoring team. These tools will be leveraged by Compliance in order to provide insightful reporting to management stakeholders, the Chief Compliance Officer, the Board of Directors, and regulators. This is a technical position, and qualified candidates should have experience developing technological solutions for automating monitoring, surveillance, and reporting activities. The role will additionally be responsible for identifying new data sets throughout the organization which can used by Compliance to meet its monitoring needs.

Primary Duties and Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily

• Build monitoring, surveillance, and risk identification dashboards.

• Provide statistical and trending data related to monitoring tools to relevant stakeholders.

• Assess existing technologies and data sets and determine how they can best be used to drive analyses and inform decision-making for Compliance.

• Define technical requirements to create monitoring tools, and then work to capture, facilitate, and execute upon those requirements.

• Automate process for sourcing data feeds.

• Run queries and reports from data sources.

• Assist in the design and development of automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.

• Escalate issues to the Director, Compliance Monitoring, as needed.

• Other duties, as assigned.

Supervisory Responsibilities:

N/A

Qualifications:

The requirements listed are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the primary functions.

• Experience building dashboards in Tableau, or similar monitoring tool.

• Experience with data extraction from source systems.

• Experience working with and analyzing complex data sets and structures.

• Strong working knowledge of compliance best practices and regulated environments.

• Understanding of the role and importance of internal controls within the organization.

• Excellent organizational and communication skills.

• Ability to work across teams and with varying subject matter experts to develop requirements and to obtain and analyze data.

• Ability to manage and prioritize assignments and respond to rapidly shifting priorities.

• Ability to work independently and as a member of a team.

• Ability to work under deadlines and manage multiple tasks simultaneously.

• Working knowledge of securities and commodities rules and regulations, preferred.

Technical Skills:

• Experience building reporting, monitoring, and surveillance tools required.

• SQL knowledge required.

• Experience with Archer eGRC, preferred.

• Proficient in MS Office software and web-based reporting tools.

• Understanding of statistics/modeling and experience applying these concepts in a business environment.

• Experience with BI/analytics reporting tools, specifically Tableau.

• Experience working with analytics/reporting technology and underlying databases.

Education and/or Experience:

• 3-5 years of quantitative analysis/data analytics/business intelligence roles required.

• At least 2 years of financial industry experience, preferred.

• At least 2 years working directly with and in coordination with compliance personnel, preferred.

• Bachelor’s Degree in Computer Science, Information Systems, Economics, Finance, or related discipline required.

Certificates or Licenses:

N/A