Client - Major Financial Firm
Role - Compliance and Control Analyst
Rate - $33.68 w2
Duration - 12 months
Location - Getzville, NY
The Employee Trading Surveillance Group ( "ETSG ") objective is to promote compliance with the laws and regulations designed to prevent inappropriate use of an individual's position or relationship with Client and its clients. This is primarily done through the implementation of the firm's internal trading policies. The team is responsible for monitoring the personal brokerage account trading for individuals covered by these policies.
ETSG achieves this in part by:
• Maintains, advises, and oversees compliance with the policies related to employee trading; and;
• Pre-clearing employee personal trading for those in job functions for which they have been deemed to have actual or perceived access to non-public information of publicly traded companies; and
• Monitoring that trading by the use of various surveillance tools.
The analyst will be responsible for developing, maintaining and performing surveillance reviews which cover specific regulations or Firm policy. The surveillance process includes escalating matters appropriately to management, legal and the respective product coverage areas in addition to providing input on the resolution. The analyst will also be responsible for addressing employee preclearance requests received electronically and via hotline calls as well as performing data entry of trading restrictions. Lastly, the analyst may also participate in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
Qualifications:
The ideal candidate must have an undergraduate degree with 2-3 years of experience in capital markets or securities compliance.
• The candidate should have a general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects.
• Strong interpersonal, verbal and written communication skills in addition to excellent research and analytical skills are a must.
• The candidate should be adaptable to change and willing to work in a fast paced team environment with a keen attention to detail.
• Advanced experience using the standard suite of MS Office products in addition to comfort using systems in general is also preferred.
• Securities licenses such as the Series 7 are also encouraged but not required. •
Last updated on May 25, 2018