The Global Compliance division is dedicated to protecting the reputation of the firm and managing risk across all business areas.

Working closely with each business, our professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. We monitor regulatory trends and changes in all jurisdictions in which the firm does business, and we share information and collaborate with regulators to manage financial market risk.

Who We Look For

Global Compliance professionals are committed to integrity and excellence. They come from a variety of academic backgrounds and career paths, including lawyers, accountants, financial analysts, information technology specialists, management consultants, sales professionals and traders.

We look for analytical and detail-oriented individuals with excellent project management skills and a keen interest in financial markets, products, and securities laws and regulations. Our team-based culture also values strong communication and interpersonal skills, sound judgment, curiosity, and adaptability in our fast-paced and dynamic environment.

How We're Organized

Global Compliance is organized broadly into divisional compliance groups, which are embedded into the areas they support, and centralized compliance groups, which survey risks and manage regulatory affairs, services and resources related to all businesses and employees of the firm globally. These centralized groups include:

  • Bank Holding Company Compliance
  • Financial Crime Compliance is comprised of, among other groups, the Anti-Money Laundering/Suspicious Activities Group, the Government Sanctions Group and the Anti-Bribery Group
  • Strats Compliance/Surveillance Analytics 
  • Global Compliance Testing
  • Regulatory Audits & Inquiries
  • Global Compliance Employee Services
  • Regulatory Reporting
  • Control Room
  • Global Compliance Training

What You Would Be Doing

Choose from the options below to learn more about the roles and responsibilities involved at each level within Global Compliance.


Global Compliance - Positions

  • Aubrey

    Executive Director/Vice President

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  • Gerardo

    Executive Director/Vice President

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  • Omar

    Managing Director

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