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Compliance Risk Professional
hace 2 semanas
We are seeking a highly skilled Compliance Risk Professional 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.
- 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.
In addition to these responsibilities, the ideal candidate will possess strong written and oral communication skills, excellent interpersonal skills, and the ability to work independently with minimal supervision.
Required Skills and QualificationsTo 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.
As an employee of Moody's, you will enjoy a range of benefits, including:
- A dynamic and supportive work environment.
- Ongoing training and professional development opportunities.
- A comprehensive compensation package.
