Securities Trade Monitoring Specialist

hace 5 días


San José, San José, Costa Rica Zm Financial Systems A tiempo completo
Role Summary

Zm Financial Systems is empowering people to make better decisions and achieve brighter futures by providing exceptional Shared Services teams that operationally support our business units.

We are seeking an experienced compliance professional to join our Corporate Compliance team and contribute to the success of our international business.

The successful candidate will be responsible for supporting the processes within the Compliance Securities Trade Monitoring Unit, including:

  • Securities trade monitoring and surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information
  • Participating in all aspects of the day-to-day operations of the Securities Trade Monitoring Unit
  • 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

Key Responsibilities:

  • Support the development and implementation of compliance policies and procedures
  • Conduct research and analysis to identify and mitigate compliance risks
  • Provide training and guidance to employees on compliance matters
  • Assist in the investigation and resolution of compliance issues

Requirements:

  • Minimum of a Bachelor's degree is required
  • 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
  • Must be highly organized with attention to detail and the ability to multi-task and meet tight deadlines
  • Must be 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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