Compliance Analyst

Essential Job Functions:

Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes:

• Reviewing Employee Disclosures:
• Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items.
• This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes.
• Reviewing Post-Trade Exceptions:
• Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards.
• This involves thorough analysis and documentation to ensure compliance with regulatory requirements.
• Reviewing Employee Transactions:
• Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review. Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies.
• Reviewing Terminated Employee Accounts:
• Examine terminated employee accounts and ensure timely initiation of feed disconnection requests.
• This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly.
• Resolving Personal Trading Data Issues:
• Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors.
• This requires attention to detail and effective problem-solving skills to ensure data integrity.
• Supporting the Employee Compliance Policy and Advisory Team:
• Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email.
• This involves prioritizing and categorizing queries to ensure efficient handling and resolution.
• Reviewing Mailboxes for Employee Responses:
• Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items.
• This ensures that all actions are documented and tracked effectively.
• Routine Follow-Up:
• Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting.
• This includes maintaining communication with employees to verify transaction details and ensure compliance.
• This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes.

Qualifications:

Skills:

• Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous.
• Strong attention to detail, analytical skills, and problem-solving capabilities.
• Ability to multi-task and prioritize across multiple projects and assignments; must be able to deliver and meet timelines in a fast-paced global project environment.
• Strong communication skills

Education:

• A relevant degree in finance, law, business, or a related field is helpful but not a pre-requisite.