AVP, Compliance Surveillance Analyst

  • New York Ny
  • 02/04/2023
Job expired!

Office Status: Hybrid

  • 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