
Regulatory Governance Specialist
4 days ago
Job Overview:
">We are seeking a detail-oriented and proactive professional to join our team as a Senior Compliance Analyst. This role requires someone with excellent analytical skills, attention to detail, and the ability to collaborate across departments to maintain the highest standards of corporate governance and ethics.
">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 the firm's internal trading policies.">
- Broker and Account Management:">
- Collaborate with investment banks and approved brokers to establish and maintain employee trading accounts, ensuring accurate and timely reporting of transactions in compliance with firm standards.">
Qualifications:
">- ">
- 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.">
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