Compliance Risk Specialist
hace 2 días
At Zm Financial Systems, we are driven to empower professionals like you to make informed decisions and drive success. We're seeking a highly skilled Compliance Risk Specialist to join our team.
The ideal candidate will have a strong background in compliance, with experience in trade monitoring and surveillance of employee trading activity. Key responsibilities include:
- Participating in the day-to-day operations of our Securities Trade Monitoring Unit
- Providing oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in our FIS Protegent PTA platform
- Researching securities for assignment to restricted lists
We're looking for someone with excellent analytical and problem-solving skills, who is able to work independently with minimal supervision. A strong understanding of regulatory requirements and industry standards is essential.
Bachelor's degree required. Two to four years of compliance experience related to employee securities trading activities. Strong written and oral communication skills. Excellent interpersonal skills and team-oriented. Must be highly organized with attention to detail and ability to multi-task and meet tight deadlines.
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