Compliance Surveillance Analyst
1 week ago
Our client a well known Investment Bank is seeking a Compliance Surveillance Analyst in their New York, New York Location
Job Description
- Compliance Surveillance Analyst Essential Duties & Responsibilities:
- Maintain and monitor employee brokerage accounts.
- Timely follow-up with onboarding users, account disclosures and brokerage firms, to establish or remove accounts from electronic data feeds as well as ensure continual receipt of brokerage feed.
- Statement tracking and review of non-feeding accounts or accounts in transition.
- Conduct trading surveillance for personal employee trading, employees brought over the wall, and firm trading related to watch and restricted lists.
- Prepare and analyze trading data for Key Risk reporting and respond to Internal Audit requests
- Analyze and maintain trading data while performing and developing surveillance reviews.
- Maintain shared email box and provide Policy guidance to employees, vendors, and business partners’ inquiries in a timely manner.
- Assess Public/Private access requirements
- Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
- Has the ability to operate with a limited level of direct supervision
- Can exercise independence of judgement and autonomy
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
- Acts as SME to senior stakeholders and /or other team members.
Qualifications:
- General knowledge of insider trading laws, rules, regulations and risks.
- 3 to 5 years experience with handling compliance issues in a U.S. financial institution/broker dealer, including related to insider trading monitoring, and information barriers
- Excellent project management and organizational skills with capability to handle multiple projects at one time
- Proven ability to prioritize
- Excellent research and analytical skills
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Demonstrated interpersonal skills with the ability to work collaboratively (team player a must) and with people at all levels of the organization
- Adaptable to change and willing to work in a fast paced environment with a positive attitude
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Sophisticated in the ability to use technology in a compliance setting
Education and other certifications:
- Bachelor’s degree; experience in a financial services firm, regulatory organization, or legal/consulting firm.
- Advanced degree and/or FINRA licenses preferred.
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