PAD COMPLIANCE

  • location: Wilmington, DE
  • type: Contract
  • salary: $20 - $24 per hour
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job description

PAD COMPLIANCE

Employer

A market leading, publicly traded global financial services firm with heavy influence. The firm is a leader in investment banking, financial services a wealth of customers both individuals and businesses.

Compliance Analyst

Job Description

  • Reviews transactional details for subject employee's personal brokerage accounts in accordance with compliance regulations.
  • Review and reconciliation of employee pre-cleared transactions vs. account documentation
  • Implementation of the firm's Approved Broker Electronic Feeds policy.
  • Review and escalation of PAD Policy Violations to Compliance Advisory partners as applicable.
  • Implementation of tactical and strategic improvements to Employee Compliance platforms and processes.
  • Communicate regularly with Compliance Management team and Employees regarding personal account dealing.
  • Collect collation and reconciliation of employees documents required for brokerage account disclosures and person all trading activity.
  • Participate in special assignments and ad hoc requests.
  • Coordination with external brokers holding employees' personal brokerage accounts.

Job Requirements

  • Bachelors' Degree in Finance or related business field/ equivalent work experience (2-3 yrs)
  • Financial services knowledge and/or experience
  • Knowledge of financial instruments (equities, fixed income, private investments)
  • Advanced knowledge in Excel metrics reporting.
  • Familiarity with operational controls .
  • Strict attention to detail.
  • Ability to build and maintain effective working relationships with PAD Compliance; comfortable with interaction with all levels of management and external parties; a team-player.
  • Quick learner; innovative and analytical.
  • Ability to adapt to opportunities presented through change.
  • Pro-active approach to problem-solving; a logical thinker.
  • Results-oriented, self-motivated and a flexible approach to working hours.
  • Excellent prioritization, planning and time-management skills.
  • Must be detail-oriented, highly responsible and able to work within tight deadlines.

Salary Range

$25-26/hr

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