Compliance Securities Trade Monitoring Specialist
hace 22 horas
Role Summary:
We seek an experienced compliance professional to support the Securities Trade Monitoring Unit in ensuring compliance with securities trading policies and regulations.
- Participate in all aspects of the day-to-day operations of the Securities Trade Monitoring Unit
- Provide oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities
- Research securities for assignment to restricted lists
- Manage daily monitoring of employee trades, including pre & post trade clearance, statement review, and account maintenance
- Maintain books and records relating to the Securities Trade Monitoring Unit
- Identify and conduct investigations for potential exceptions
- Analyze data to generate ongoing reviews and reports
- Respond to queries from employees
- Provide advice and guidance to monitored employees and Compliance teams related to our Securities Trading Program
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