Senior Compliance Associate – Control Room recruitment
Responsibilities include:
* Managing daily monitoring of employee trades, including pre post trade clearance, exceptions,
appeals, and resolution tracking;
* Applying the organizations policies and procedures to assess employee securities transactions and holdings for potential conflicts;
* Managing and maintaining restricted lists; research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists;
* Provide support of employee securities trading classifications, restricted lists and exempted securities;
* Research and review of equity positions and other related matters;
* Maintaining books and records relating to Control Room;
* Verbal communication and preparation of reports to senior management regarding the status of monitoring of trade activities and investigations;
* Responding to queries from employees
* Provide advice and guidance to business lines and Compliance teams on relevant coverage issues
* Assist in other compliance tasks as required to ensure team objectives are achieved
Qualifications:
* Undergraduate Degree required;
* 4+ years experience in Control Room or relevant monitoring of employee securities trading;
* Advanced knowledge in insider dealing, conflict management, information walls, investment research and regulatory disclosure obligations;
* Knowledge of variations of global laws and regulations;
* Working experience with Microsoft Office, Bloomberg, and a compliance monitoring tool such as SunGard’s Protegent PTA;
* Understanding of the CUSIP numbering system;
* Excellent technical writing ability and exceptional verbal communication and presentation skills;
* Strong research and analytical skills