Security Trading Compliance Expert
hace 6 días
Job Overview
We are seeking a seasoned Compliance Associate to join our team and support the Compliance Securities Trade Monitoring Unit. In this role, you will be responsible for monitoring and analyzing employee trading activity to identify potential conflicts of interest and misuse of confidential information.
Main Responsibilities
- Develop and maintain relationships with internal stakeholders to ensure effective communication and collaboration
- Conduct research and analysis to identify trends and patterns in employee trading activity
- Investigate and report on potential compliance issues and exceptions
- Develop and implement policies and procedures to ensure compliance with regulatory requirements
- Provide guidance and training to employees on compliance policies and procedures
Requirements
- Strong understanding of regulatory requirements and industry standards
- Proven experience in compliance roles, preferably in financial services
- Excellent analytical and problem-solving skills
- Strong communication and interpersonal skills
- Able to work independently with minimal supervision
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