Personal Trading Compliance Analyst

2 weeks ago

New York, New York, United States Softinc Full time

No 3rd party/vendors

Must be a USC or GC holder with NO sponsorship

SOFT's client located in New York, NY ( Hybrid ) is looking for a Personal Trading Compliance Analyst for a long term contract assignment.

Qualifications:

• Relevant work experience in employee personal investment compliance (FINRA 3110(d) and 3210), or government ethics.

• Substantive knowledge of financial products (ex., stocks, bonds, alternative investments, funds, IRAs, etc.).

• Familiar and comfortable working with and presenting data, prior experience with data visualization tools preferable but not required.

• Prior experience working with an employee trade monitoring and surveillance application (ex. MyComplianceOffice, FIS Employee Compliance Manager).

  • Strong ability to identify and analyze issues, draw conclusions, propose solutions, and communicate them orally or in written format.
  • Strong customer service skills with the ability to discreetly handle sensitive and confidential information.
  • Strong self-management skills. Ability to handle multiple assignments at once and produce results under tight time constraints, both independently and as part of a team.
  • Strong ability to manage projects and drive them from start to finish
  • High degree of attention to detail and organization.
  • Agility in adapting to changing work demands and business developments.

Responsibilities:

The client's Ethics Office helps to ensure that all employees perform their duties with honesty, integrity, impartiality, and without improper preferential treatment of any person. The Office provides guidance on the application of the Code in Conduct, monitors compliance, and addresses violations of the Code. Your responsibilities will primarily be related to the employee Personal Trading Compliance Program (PTCP).

  • Assist with accounts management. Engage with brokers regarding data feeds.
  • Design quality control plan to review, analyze, and resolve errors from manually uploaded statements. Conduct quality control reviews.
  • Analyze data from the personal trading monitoring application. Develop operational metrics and prepare status reports.
  • Assist with roll-out of annual attestations.
  • Address and resolve potential conflicts of interests identified through the personal trading monitoring application or through the annual employee attestation process. Follow-up with employees as needed to resolve potential conflicts of interests.
  • Advise employees on investment restrictions, financial products, and ethics disclosure requirements. Conduct detailed research on financial products and financial arrangements, as needed.
  • Build and maintain effective relationships with business area liaisons, technology partners, and stakeholders.
  • Develop and draft policies, procedures, and user guides, as needed.
  • Summarize and log ethics matters in internal database, as needed.
  • Perform other projects related to the Ethics Office as assigned, which could include outside business activity matters, staff training and education, responding to information inquiries from stakeholders.

Pay: $ $70.00 per hour

Experience:

  • financial products: 6 years (Required)
  • staff training and education: 6 years (Required)
  • data visualization : 6 years (Required)
  • Personal Trading Compliance Program (PTCP): 6 years (Required)
  • interacting with brokers and managing data feeds;: 6 years (Required)

Work Location: Hybrid remote in New York, NY 10001

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