Compliance Analyst - Risk Management - Financial Services

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. , 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 Bachelor's or Master's degree in finance, law, business, or a related field is helpful but not a pre-requisite