Financial Services Compliance Specialist
1 week ago
We are seeking a highly skilled Financial Services Compliance Specialist to join our team at BizTek People, Inc. | APA International Placement Consultants.
This role will be based in New York, NY and offers a competitive salary of $120,000 - $150,000 per year, depending on experience.
Key Responsibilities:- Maintain and monitor employee brokerage accounts, ensuring timely follow-up with onboarding users, account disclosures, and brokerage firms.
- Track and review statements for non-feeding accounts or those in transition.
- Conduct trading surveillance for personal employee trading, employees brought over the wall, and firm trading related to watch and restricted lists.
- Analyze and prepare trading data for Key Risk reporting and respond to Internal Audit requests.
- Maintain shared email box and provide policy guidance to employees, vendors, and business partners' inquiries in a timely manner.
- Bachelor's degree; experience in a financial services firm, regulatory organization, or legal/consulting firm. Advanced degree and/or FINRA licenses preferred.
- General knowledge of insider trading laws, rules, regulations, and risks.
- 3 to 5 years of experience 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 the ability to handle multiple projects simultaneously.
- Proven ability to prioritize tasks effectively.
- Excellent research and analytical skills.
- Excellent written and verbal communication skills.
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