Employee Compliance Associate

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Ongoing enforcement of the Firm’s Watch/Restricted Lists; specifically, their application and integration within the Policy’s trading rules.
  • Performing the on- and off-boarding of employee accounts, including establishing broker feeds, periodic certifications, and reporting/analysis of trading activity via the trade surveillance system.
  • Assisting in transactional and forensic testing to ensure compliance with relevant policies and procedures.
  • Compilation and reporting of performance and risk metrics related to Personal Account Dealing.
  • Support and development, delivery and tracking of requisite certifications.
  • Assisting with the establishment and enhancement of relevant policies and procedures.
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