Securities Trade Monitoring Professional
hace 3 días
About Moody's Shared Services
Our Shared Services teams are vital to the international success of our business. We operate across multiple functions, including Finance, Technology, Legal, Compliance, and Human Resources.
About the Role
We are seeking an experienced compliance professional to join our Shared Services team. In this role, you will be responsible for supporting the processes within our Compliance Securities Trade Monitoring Unit.
Key Responsibilities
- Monitor and analyze employee trades to identify and prevent conflicts of interest and the misuse of confidential information.
- Maintain employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent PTA platform.
- Conduct research of securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists.
- Oversee 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.
- Provide advice and guidance to monitored employees and Compliance teams related to the Moody's Securities Trading Program.
- Assist in other compliance tasks as required to ensure team objectives are achieved.
Requirements
- Minimum of a Bachelor's degree.
- Strong written and oral communication skills.
- Two to four years of compliance experience related to employee securities trading activities.
- Professional, pro-active, flexible, diligent, and dependable.
- Excellent interpersonal skills and team-oriented.
- Highly organized with attention to detail and the ability to multi-task and meet tight deadlines.
- Able to work on own initiatives, with limited supervision.
- Multilanguage with ability to translate documents is a plus.
- Strong Microsoft Excel, PowerPoint, and Word skills including use of Excel Formulas and Pivot Tables.
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