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Securities Trade Monitoring Specialist
hace 1 semana
Moody's is a leading provider of credit ratings, research, and risk analysis services. We help investors, financial institutions, and other market participants make informed decisions about credit risk.
We are committed to providing exceptional service and support to our clients, and we are always looking for talented individuals to join our team.
Job SummaryWe are seeking a Securities Trade Monitoring Specialist to join our team in the Securities Trade Monitoring Unit. The successful candidate will be responsible for monitoring and analyzing employee trades to identify potential conflicts of interest and misuse of confidential information.
Key ResponsibilitiesThe key responsibilities of this role include:
- Monitoring and analyzing employee trades to identify potential conflicts of interest and misuse of confidential information.
- Providing oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent PTA platform.
- Researching securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists.
- Managing daily monitoring of employee trades, including pre & post trade clearance, statement review, and account maintenance.
- Maintaining books and records relating to the Securities Trade Monitoring Unit.
- Identifying and conducting investigations for potential exceptions.
- Analyzing data to generate ongoing reviews and reports.
To be successful in this role, you will need:
- A minimum of a Bachelor's degree.
- Two to four years of compliance experience related to employee securities trading activities.
- Strong Microsoft Excel, PowerPoint, and Word skills, including use of Excel Formulas and Pivot Tables.
