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