Apply for the Compliance Officer, Employee Activities position

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CAPTCHA

Asset management firm, looking to bring on board a “Compliance Officer, Employee Activities” to join their team in Midtown, Manhattan. This firm is operating in a hybrid capacity (4 days in office).

Responsibilities:

Process personal account disclosure and pre-clearance forms
Review Gift and Entertainment requests
Reconcile personal trading data that comes via the electronic feed via our third party vendor
Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers
Review employee certification documents on an annual basis and action accordingly
Answer employee inquiries related to employee activities via the phone hotline and shared mailbox
Perform Ad hoc reporting and complete projects related to data reconciliation
Assist in streamlining workflows and document utilizing schematics
Review employee activity data/metrics and identify trends and patterns
Review reported outside business activities and private investments and perform conflict checks
Perform personal trading surveillance to ensure compliance with our personal trading policy.
Deliver new hire Compliance training to newly onboarded employees.