Code of Ethics-Senior Associate/Delivery Lead-Compliance Ops
4 weeks ago
Job summary
• This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of code of ethics and mitigate conflicts of interest that could arise between the Firm and its employees.
• One of the key responsibilities will be to support and deliver the objectives of clients and ensuring that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations and all evidence is collected and preserved in a manner prescribed by the clients.
Key responsibilities:
- Perform routine Core Compliance review, monitoring, and escalation processes, including Personal Account Dealing, Gift & Entertainment, Political Contribution, Outside Business Activity and other matters subject to the code of ethics.- Process employee requests related to PAD, G&E, OBA, and Political Contribution.- Review and reconcile employee personal account statements.- Monitor communication and trading patterns for wall-crossed individuals, Private and Public side employees.- Log and maintain the restricted trading list, blackout list and review trading patterns between restricted list and trading desks.- Ensure compliance with regulatory requirements and internal policies and Identify cases of non- compliance.- Document and clearly articulate alert disposition.- Support client in high volume compliance task.- Create and maintain applicable standard operating procedures.- Ability to work independently and prioritize tasks effectively and manage multiple projects simultaneously in a fast-paced environment.- Adhere to client’s standard operating procedures, process workflows, and Acuity’s compliance standards.- Stay abreast of regulatory developments and industry best practices to suggest improvements in the client’s process.- Extensive interaction with client’s compliance team in supporting their needs.- Develop good interpersonal relationship with the clients to get the best information and insights from them.- Communication with cross functional teams and senior management- Contribute towards preparation of compliance documentation/decks as prescribed by clients.- Preparation of various MIS, dashboards, and other reports.
Qualifications/Skills:
- Bachelor’s degree required: preferably in accounting, finance, law, business management or related field.- Sound Knowledge of code of ethics process.- Strong understanding of regulatory landscape in US, UK, or APAC.- In-depth Understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers.- Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.- Good understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc.- Strong research, analytical thinking, problem solving, and comprehension skills with ability to analyse and document large amounts of data.- Self-starter with ability to work effectively with minimal supervision.- Strong communication skills – written and verbal.- Strong proficiency in Microsoft applications.
Preferred skills:
- A certification in financial market or products will be an added advantage.- Ability to work collaboratively with cross-geographical teams.- Excellent time management and ability to multi-task.
Experience:
- 4-7 years of total experience with strong experience in compliance predominantly in code of ethics- Knowledge of corporate compliance activities like personal account trading, gifts and entertainment, outside business activities, trainings & line coverage- Understanding of financial markets and financial instruments, including awareness of securities trading or trade life cycle- Familiarity with Code of Ethics software is a plus.
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