Compliance Analyst

You will be responsible for reviewing employee disclosures related to personal trading accounts and taking necessary actions such as setting up feeds, notifying account closures, and following up on outstanding items. This includes handling account onboarding formalities with employees and/or brokers, updating trackers to track volumes accurately, and ensuring completion of feed set-up consent formalities and managed account forms. You will also need to review post-trade exceptions to identify potential non-compliance issues, document findings, and disposition exceptions according to procedures and documentation standards. This will involve thorough analysis to ensure compliance with regulatory requirements. In addition, you will be required to review employee transaction confirmations and quarterly statements that need the Employee Compliance team's attention. Updating employee holdings in the PTA system accurately will be crucial for record-keeping and compliance with internal policies. Your role will also involve examining terminated employee accounts and initiating feed disconnection requests in a timely manner. Coordinating with relevant departments to ensure all necessary actions are taken promptly is essential in this process. Furthermore, you will be responsible for resolving personal trading data issues, such as account number mismatches or incorrect security set-ups, to address any data load errors. Attention to detail and effective problem-solving skills will be necessary to maintain data integrity.,