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Compliance Professional for Securities Trade Monitoring
hace 2 semanas
At Zm Financial Systems, we empower professionals to make informed decisions and drive business success. Our Compliance Securities Trade Monitoring Unit plays a vital role in ensuring the integrity of our operations.
About the Role
We are seeking an experienced compliance professional to support the Securities Trade Monitoring Unit. This key function involves securities trade monitoring, surveillance of employee trading activity, and identification of potential conflicts of interest and misuse of confidential information.
Responsibilities
- Participate in all aspects of day-to-day operations of the Securities Trade Monitoring Unit.
- Provide oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent PTA platform.
- Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists.
- Manage 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.
- Respond to queries from employees.
- 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
- Bachelor's degree or equivalent experience.
- Strong written and oral communication skills.
- At least two years of compliance experience related to employee securities trading activities.
- Professional, proactive, flexible, diligent, and dependable.
- Excellent interpersonal skills and team-oriented.
- Highly organized with attention to detail and ability to multi-task and meet tight deadlines.
- Able to work on own initiatives with limited supervision.
- Multilanguage skills with ability to translate documents is a plus.
- Strong Microsoft Excel, PowerPoint, and Word skills, including use of Excel Formulas and Pivot Tables.
