Compliance Analyst
Compliance Analyst
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Job Description
We are seeking a detailoriented and proactive Compliance Analyst to join our team. The successful candidate will play a critical role in ensuring that the firms trading activities and internal practices comply with regulatory standards and internal policies. The ideal candidate will have a understanding of financial products and compliance best practices. This role requires someone with excellent analytical skills attention to detail and the ability to collaborate across departments to maintain the highest standards of corporate governance and ethics.
Key Responsibilities:
Employee Trading Compliance: Conduct thorough reviews of employee trading activities ensuring strict adherence to regulatory requirements watchlists and restricted lists in accordance with both external and internal compliance protocols.
Trade Preclearance Oversight: Enforce a robust trade preclearance process meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and the firms internal trading policies. This includes assessing potential conflicts of interest ensuring compliance with restricted lists and mitigating any risks associated with the misuse of Material NonPublic Information (MNPI) thereby safeguarding the integrity of the firms trading practices and maintaining regulatory compliance.
Broker and Account Management: Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts ensuring the accurate and timely reporting of transactions in compliance with firm standards.
NonApproved Broker Oversight: Perform detailed analyses of statements from nonapproved brokers verifying compliance with the firms code of ethics and trading regulations and work to identify and mitigate potential risks.
Monitoring ECommunications: Regularly monitor ecommunications within the firm to identify and address potential breaches related to the leakage of Material NonPublic Information (MNPI) proactively safeguarding against insider trading concerns.
Compliance Training: Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations and ensure adherence to best practices in ethical trading and corporate governance.
Risk Assessment and Mitigation: Conduct ongoing risk assessments to identify emerging compliance challenges ensuring the firm remains agile in adapting to regulatory changes and minimizing potential compliance risks.
Policy Development and Implementation: Assist in the development implementation and updating of comprehensive compliance policies and procedures to strengthen governance ensure operational integrity and maintain the firms reputation.
Qualifications:
Bachelors degree in commerce finance Accounting Business Law or a related field.
Minimum of 2 years of experience in compliance regulatory affairs or a related field preferably within the financial services industry.
Strong written and verbal communication skills with the ability to collaborate effectively across departments.
Proficiency in Microsoft Office Suite and compliancerelated software tools.
Employment Type
Full Time
