Overview
Senior Compliance Associate, Securities Control Ro Jobs in New York City, NY at The Peak Organization Inc
Senior Compliance Associate, Securities Control Room
Our client, a leading Financial Services Firm, is seeking an experienced compliance professional to support the development and maintenance of its Securities Control Room. This function will focus on the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.
The candidate will be responsible for administering the Securities Trading Policy and associated procedures, assessing employee securities transactions and holdings for potential conflicts, managing restricted lists, reviewing equity positions and providing assistance on research related matters.
Additional responsibilities for this position:
Participate in all aspects of the day-to-day operations of the Control Room.
Provide oversight and maintenance of employee securities trading classifications, restricted lists and exempted securities.
Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists.
Manage daily monitoring of employee trades, including pre and post trade clearance, exceptions, appeals, and resolution tracking.
Maintain books and records relating to the Control Room.
Prepare reports to senior management regarding the status of monitoring of trade activities and investigations.
Respond to queries from employees.
Provide advice and guidance to business lines and Compliance teams on relevant coverage issues.
Assist in other compliance tasks as required to ensure team objectives are achieved.
Requirements:
Minimum of 5 years of experience in a Control Room function and relevant monitoring of employee securities trading.
Advanced knowledge in conflict management, information walls, insider dealing, investment research and regulatory disclosure obligations.
Working knowledge of Microsoft Office software suite, Bloomberg, and a compliance monitoring tool such as SunGard’s Protegent PTA.
Highly organized with the ability to multi-task and meet tight deadlines.
Strong written and verbal communication skills.
College Degree required.
Excellent analytical skills
For immediate consideration, please submit your resume to Kyle Marszalek at **********@peakaudit.com.
Title: Senior Compliance Associate, Securities Control Ro
Company: The Peak Organization Inc
Location: New York City, NY
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