Position Summary
Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative team who supports the administration of Firm's Compliance policies as it relates to personal trading and employee activities.
Job Functions
· Process personal account disclosure and pre-clearance forms
· Review Gift and Entertainment requests
· Action personal trading system tasks as it relates to unknown securities, feed tracking and unknown brokers
· Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers
· Review employee certification documents on an annual basis and action accordingly
· Answer employee inquiries related to employee activities via the phone hotline and shared mailbox
· Perform Ad hoc reporting and complete projects
· Review reported outside business activities and private investments and perform conflict checks
· Perform personal trading surveillance to ensure compliance with our personal trading policy.
Qualifications
· Excellent analytical, reasoning, and problem-solving skills.
· Excellent verbal, written and interpersonal communication skills.
· Ability to multi-task, meet deadlines and handle multiple projects/priorities
· Ability to work well independently as well as collaboratively.
· Detail oriented and adaptable
· Motivated with a desire to learn and deliver results
· Prior work experience with Code of Ethics or Personal Trading is an added advantage
· Knowledge of the Financial Industry
· Possess self-confidence and can interact successfully with all levels of personnel
· Have a strong sense of responsibility and responsiveness
Qualifications
· Bachelor’s/University degree
· 3-5 years working in the financial industry.
· Proficiency in Excel and Microsoft Office Applications
Goking for people who operate as business owners, adhere to the highest standards and thin