Compliance Securities Trade Monitoring Specialist

hace 1 día


San José, San José, Costa Rica Zm Financial Systems A tiempo completo

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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