Controls and Regulatory Obligations Associate – Securities Services

Be at the center of how Securities Services stays ahead of regulatory change. In this role, you will help turn complex requirements into clear actions that strengthen controls and support responsible growth. You will partner globally with business, controls, compliance, and audit teams to deliver disciplined analysis and meet critical service commitments.

As an Associate in the Office of Legal Obligations (OLO)/Legal program team, you will be part of a global team reviewing the impact of regulatory requirements on Securities Services businesses. This position offers the opportunity to collaborate across 1LOD, 2LOD, and Commercial and Investment Banking (CIB)  program partners while developing your controls and data analysis skills, and deepening your knowledge of Securities Services products. 

In this role you will be expected to drive the sustainable, disciplined analysis of impacting regulations and regulatory change events. You will partner with Control Managers and the business to maintain accurate mappings and meet SLAs. Your work will support the wider firmwide OLO, Legal and Regulatory Change Management (LRCM), and Compliance Risk Assessment (CRA) programs, collaborating closely with other central programs as well as CCOR and other teams.

 

Job Responsibilities

• Evaluate end-to-end analysis of obligations and regulatory change events impacting Securities Services businesses in line with our book of work.
• Identify procedural or control gaps and ensure accurate mappings in the inventory tool (ELA) taking a risk based approach at all times

• Collaborate with the Securities Services Control management organization, OLO central programs, and partner with Compliance and Audit.

• Represent the team in various working groups and forums, as needed.
• Assist with project management deliverables, including metrics, etc.

 

Required Qualifications, Capabilities, and Skills

• Bachelor’s degree or equivalent experience.
• Background in Controls, Regulatory Change, Legal or Compliance, Operational Risk or equivalent
• Ability to partner with diverse teams to drive efficiency and process enhancement.
• Strong organizational skills to manage and prioritize multiple tasks within deadlines.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) 

 

Preferred Qualifications, Capabilities, and Skills

• Knowledge of Securities Services products is preferred
• Data analytics, AI or Machine learning experience would be an advantage
• Candidate should be keen to learn, pay attention to detail and challenge information when appropriate
• Ability to focus on the end goal, be flexible with demanding deadlines and work closely  across local and global teams