Star Schema Data Warehouse Snowflake SQL QlikView Dashboard
Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance Intelligence Unit responsible for the design, implementation, and oversight for a suite of surveillance designed to detect behaviors that may violate regulatory rules or internal policies and procedures.
When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. The ICRM Global Surveillance platform encompasses a number of surveillance-related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.
Reviewing data and analysis of surveillance and trading activity while also developing, maintaining, and performing surveillance reviews.
Identifying potential risks for the Firm and escalating the matter to a designated manager and to the legal representative and the respective product coverage areas as appropriate.
Generating reports, performing data analysis, and providing troubleshooting support on multiple projects. Supporting aspects of planning and executing projects to assist the Firm in complying with regulatory and legal requirements.
Participating in ad-hoc requests, special projects, and regulatory exams directed by other organizations within the compliance or legal departments.
Other responsibilities include: overseeing the monitoring to adherence to ICRM’s Risk Policies and relevant procedures; preparing, editing, and maintaining ICRM program-related materials; Interacting and working with other areas within our client, as necessary; and Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
Development of BI Dashboards and reports to ensure that appropriate, comprehensive, concise data is available to the target audience on a timely basis.
Understanding of the data and how it needs to be presented; MI may be required for different purposes (senior leadership forums, proving KPIs as per service agreements, etc.)
Solution documentation, bug tracking, and Agile sprint management
Participation in meetings with global leadership and regional clients to drive efficient processes and techniques in the reporting space.
Prioritization of new requests within a strategic framework to ensure that internal clients’ needs are responded to effectively while continuing to meet the global MI / Reporting agenda.
Design of reports and dashboards to highlight trends and points of interest to surveillance leads.
Identifying & utilizing strategic data sources, minimizing manual collation of data, and ensuring that reports distributed by the team reconcile to Golden Source data & align to global standards.
Keep up-to-date with the latest trends, disruptions, and technologies and proactively recommend approaches that will provide long-term, cost-effective, innovative solutions.
Understanding data sensitivity/privacy issues and ensuring that data movement / MI conforms to rules, policies, and regulations.
Deliver global reporting across ICRM for actions & escalations; manage complex workflows across multiple teams and data sources to ensure a reliable, repeatable MI process.
Additional duties as assigned.
An expert in developing solutions using QlikView software.
Expert-level skill in integrating data using QlikView.
Expert-level skill in QlikView scripting.
Demonstrable exposure to QlikView UI development.
Expert-level skill in Dashboard UX design (layouts, integrating maps, color schemes, etc.).
Strong background in Data Analysis and data modeling.
Experience in using SQL.
Experience in a Data Warehouse environment reporting on dimensions/hierarchies.
Experience in Star Schema/Snowflake modeling, FACT, and Dimensions tables.
Basic Microsoft SharePoint knowledge.
Willingness to learn about business processes, and data (systems/ returns/ performance/ drivers) to create robust and comprehensive analyses via technology solutions.
Capable of multitasking and prioritizing in a fast-paced and agile work environment.
Attention to detail and a passion to produce a quality product.
Knowledge of Compliance laws, rules, regulations, risks, and typologies.
A general understanding of securities trading and corresponding regulations with a proven ability to prioritize and manage multiple projects.
Excellent research and analytical skills.
Excellent written and verbal communication skills.
Must be a self-starter, flexible, innovative, and adaptive.
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
Excellent project management and organizational skills and capability to handle multiple projects at one time.
Proficient in MS Office applications (Excel, Word, PowerPoint).
Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization.
Adaptable to change and willing to work in a fast-paced environment with a positive attitude.