Financial Services Compliance Specialist

1 week ago


New York, New York, United States BizTek People, Inc. | APA International Placement Consultants Full time
Job Description

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.
Requirements:
  • 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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