
Senior Compliance Manager
5 days ago
We seek a detail-oriented professional to fill the role of Senior Compliance Analyst/Team Lead/Manager.
The ideal candidate will have an in-depth understanding of financial products and compliance best practices, with exceptional analytical skills and attention to detail.
Main Responsibilities:- Conduct thorough reviews of employee trading activities, ensuring adherence to regulatory requirements.
- Maintain a robust trade preclearance process, meticulously reviewing and approving employee trade requests.
- Collaborate with external parties to establish and maintain employee trading accounts, ensuring accurate reporting of transactions.
- Analyze statements from non-approved brokers, verifying compliance with internal codes of ethics and trading regulations.
- Regularly monitor firm communications to identify potential breaches related to Material Non-Public Information (MNPI).
- Deliver compliance training sessions to enhance employee understanding of regulatory obligations.
Requirements:
- Bachelor's degree in commerce, finance, accounting, business, law, or a related field.
- Minimum 5+ years of experience in compliance, regulatory affairs, or a related field, preferably within the financial services industry.
- Excellent communication and collaboration skills.
- Proficiency in Microsoft Office Suite and compliance-related software tools.
About This Opportunity:
This is a key role in ensuring our trading activities comply with regulatory standards and internal policies.
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