Compliance Director
The main duties of the role are listed below.
This is an advisory role for employees and managers to identify areas that give rise to a conflict of interest and work to resolve those conflicts
Ongoing surveillance and "spot checking" of personal trading activity to detect conflicts of interest, trading violations, front running, trading on inside information etc. and escalate as appropriate
Ongoing review and evaluation of the Firm's policies and procedures to ensure that risk issues continue to be the focus of the Personal Securities Monitoring Team
Provide a practical and supportive role in administering the Firm's Code of Conduct
Provide leadership for a small team of compliance analysts administering the Code of Conduct for securities monitoring
Develop a risk based approach to securities monitoring and focus compliance resources to "true conflicts of interest"
Tracking and Monitoring Employee Personal Securities Brokerage Account Activity and Trade Confirmations
Further to the above other duties will include the Training of employees and managers on pertinent policies and procedures. Creating and distributing management reports to capture and address risk related issues e.g. outside business interests, holdings in conflict with firm restrictions, short term trading etc is highly important.
The right candidate will be required to participate in regulatory examinations, collect, organize and provide required regulatory reports and respond to information requests whilst also maintaining and updating the Personal Conflicts Monitoring Procedures Manual. Further to this the candidate will be required to collaborate with IT and vendors to ensure successful rollout of new employee trading oversight system
Leave a Reply
You must be logged in to post a comment.