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.
- 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.
- 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.