Compliance Conduct Consultant




This position is responsible for the coordination and administration of the Firm’s Conduct program. This includes tracking both conduct breaches as well as positive conduct behaviors, preparing monthly reporting into the Conduct Tracking Committee and quarterly reporting into the Americas Conduct and Culture Committee. This position is responsible for coordinating breaches across the Americas platform within Compliance as well as other Business Units, including Risk and Human Resources. This role is also responsible for coordinating the program with counterparts in the Home Office.


  • Prepare monthly package for Conduct Tracking Committee
  • Prepare quarterly package for Americas Conduct and Culture Committee
  • Schedule monthly and quarterly meetings, track actions coming out of the meeting, take minutes and distribute to committee members as well as Home Office
  • Coordinate with other groups including Market Risk, Credit Risk, Information Security, Operational Risk, and HR regarding breaches
  • Maintain Conduct policies and procedures
  • Maintain Conduct Dashboards
  • Report monthly and quarterly Conduct metrics
  • Communicate with individuals, managers, and Executive Committee members in relation to individuals escalated to the Americas Conduct & Culture Committee
  • Work with HR and Corporate Communications to reward individuals recognized for positive behavior


  • 5 + years Compliance project management experience, including gathering, collating, tracking and reporting data. Conduct tracking experience at an investment bank would be a plus
  • 3 + years of experience in creating trend dashboards using PowerBI
  • Prior experience of reporting to senior management committees and/or serving as a Governance Committee or Board Corporate Secretary is preferred.
  • Strong communication and presentation skills
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