EXTERNAL CLIENT ROLE
Essential Duties & Responsibilities
- Maintain and monitor employee and consultant brokerage accounts. Timely follow-up with registering users, account disclosures and brokerage firms, to establish or remove accounts from electronic data feeds
- Maintain shared email box and respond and provide Policy guidance to employees, vendors, and business partners’ inquiries in a timely manner
- Maintain consultant tracking and assess Public/Private access requirements.
- Watch list/Restricted list maintenance as needed
- General knowledge of insider trading laws and regulations. Experience with handling compliance issues in a U.S. financial institution, including related to insider trading monitoring, policy and procedure control, information wall crossings
- Conduct trading surveillance for employees brought over the wall, personal employee trading and firm trading related to watch and restricted lists
- Sophisticated in the ability to use technology in a compliance setting
- Prepare and analyze trading data for Key Risk reporting and respond to Internal Audit requests
- Reviewing data and analysis of surveillance and trading activity while also developing, maintaining and performing surveillance reviews.
- Identifying potential risks for the Firm and escalating matters as appropriate
- Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
- Has the ability to operate with a limited level of direct supervision
- Can exercise independence of judgement and autonomy
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm’s reputation and safeguarding its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
- Acts as SME to senior stakeholders and /or other team members
- Knowledge of Compliance laws, rules, regulations and risks
- A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
- Excellent research and analytical skills
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Demonstrated interpersonal skills with the ability to work collaboratively (team player a must) and with people at all levels of the organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Adaptable to change and willing to work in a fast paced environment with a positive attitude
Education and other certifications:
- Bachelor’s degree; experience in a financial services firm, regulatory organization, or legal/consulting firm.
- Advanced degree and/or FINRA licenses preferred.