
Senior Regulatory Compliance Officer
23 hours ago
Our organization is seeking a detail-oriented Compliance Analyst/Team Lead to join our team. The ideal candidate will possess excellent analytical skills, attention to detail, and the ability to collaborate across departments to maintain high standards of corporate governance and ethics.
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- 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.">
- Enforce a robust trade preclearance process, meticulously reviewing and approving employee trade requests prior to execution to ensure alignment with regulatory guidelines and our internal trading policies.">
- Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring accurate and timely reporting of transactions in compliance with our standards.">
- Perform detailed analyses of statements from non-approved brokers, verifying compliance with our code of ethics and trading regulations, and work to identify and mitigate potential risks.">
- Regularly monitor e-communications within the firm to identify and address potential breaches related to the leakage of Material Non-Public Information (MNPI), proactively safeguarding against insider trading concerns.">
- Facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations and ensure adherence to best practices in ethical trading and corporate governance.">
- Conduct ongoing risk assessments to identify emerging compliance challenges, ensuring we remain agile in adapting to regulatory changes and minimizing potential compliance risks.">
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- 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.">
- Proficiency in Microsoft Office Suite and compliance-related software tools.">
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