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Compliance Expert for Securities Trade Monitoring
hace 3 semanas
We are seeking an experienced Compliance Associate to join our team at Zm Financial Systems. As a key member of our Securities Trade Monitoring Unit, you will play a vital role in ensuring the integrity of our financial operations.
Key Responsibilities- Participate in the day-to-day operations of the Securities Trade Monitoring Unit, providing oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent PTA platform.
- Research securities, such as global equities, bonds, and mutual funds, 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 the Moody's Securities Trading Program.
- Bachelor's degree required.
- At least two years of compliance experience related to employee securities trading activities.
- Strong written and oral communication skills.
- Professional, pro-active, flexible, diligent and dependable.
- Excellent interpersonal skills and team oriented.
- Must be highly organized with attention to detail and the ability to multi-task and meet tight deadlines.
- Must be able to work on own initiatives, with limited supervision.
- Strong Microsoft Excel, PowerPoint, and Word skills including use of Excel Formulas and Pivot Tables.
