Overview
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