Vacancy expired!
- You'll be joining a small but very visible team of specialists within our Product Management area, with a mission to ensure that our customers have the best-in-class surveillance capabilities to help them protect their businesses and satisfy their regulatory obligations.
- The team comprises subject-matter experts in compliance / surveillance and analytics development.
- You will be the in-house Subject-Matter Expert for Suitability and Sales Practices; hence you'll need to be a self-starter and be able to work with minimal supervision.
- As an expert in your field, we want you to make an impact; we want you to be noticed by both your peers and the industry. That said, our culture is collaborative and supportive so you'll have all the help you need.
- Own and prioritize the development roadmap for your area of expertise
- Define and design alert scenarios for surveillance
- Work with Product Managers to define:
- business, product and data requirements;
- test scenarios; and
- Quality Assurance validation
- Argue your case to secure development slots
- Work with PMs and Research and Development teams to develop alert models
- Work with Sales during pre-sales campaigns and post-sales engagements
- Represent the team in front of senior management with respect to your area of expertise
- Cultivate and maintain relationships with customers (and potential customers)
- Cultivate and maintain relationships with appropriate regulators & SROs
- Conduct internal and external training
- Work with Product Marketing and other areas as required
- Represent the firm at conferences and events
- Be a thought leader in the field and produce appropriate thought-leadership materials
- Wealth / Private Banking / Insurance Compliance experience
- Solid understanding of legislation & regulation around Wealth / PB & Insurance (eg. IAA, \u201840 Act, Reg BI); familiarity with other jurisdictions' regulations a plus (eg. Canada, UK, EU)
- Solid understanding of Wealth / PB & Insurance products
- Solid understanding of Suitability & Sales Practices
- Solid understanding of client - advisor workflows
- Good familiarity with surveillance / monitoring / supervision, processes and systems
- Good familiarity with AML / KYC / CDD requirements & processes
- Experience at a regulator / SRO a plus
- Experience with technology implementation a plus
- Experience with data
- Basic coding
- Industry qualifications eg. CAMS
- Licenses eg. Series 7, 63, etc.
- Degree in any discipline
- Training (internal & external)
- Public speaking (webinars, podcasts, conferences)
- Writing (blogs, white papers, internal documents such as Business / Product Requirements)
- Comfortable dealing with internal stakeholders (eg. developers, QA / testers, senior management)
- Willingness to push an argument
Vacancy expired!