
Senior Financial Regulatory Compliance Professional
5 hours ago
We are seeking a detail-oriented and proactive Senior Compliance Specialist to assume a pivotal role in ensuring our trading activities and internal practices align with regulatory standards and internal policies.
Key Responsibilities:- Employee Trading Compliance: Conduct thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements, watchlists, and restricted lists in accordance with both external and internal compliance protocols.
- Trade Preclearance Oversight: Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and our firm's internal trading policies.
- Broker and Account Management: Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring the accurate and timely reporting of transactions in compliance with firm standards.
- Non-Approved Broker Oversight: Perform detailed analyses of statements from non-approved brokers, verifying compliance with our firm's code of ethics and trading regulations.
- Bachelor's degree in commerce, finance, accounting, business, law, or a related field.
- Minimum of 5+ years of experience in compliance, regulatory affairs, or a related field, preferably within the financial services industry.
- Strong written and verbal communication skills, with the ability to collaborate effectively across departments.
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