Compliance Analyst

As an Employee Compliance Analyst, your role will involve the following key responsibilities: - 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. - 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. - Reviewing post-trade exceptions to identify potential non-compliance issues, documenting findings, and disposition exceptions according to procedures and documentation standards. - Thorough analysis to ensure compliance with regulatory requirements. - Reviewing employee transaction confirmations and quarterly statements that need the Employee Compliance team's attention and updating employee holdings in the PTA system accurately for record-keeping and compliance with internal policies. - 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. - 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. Qualifications required for this role: - Strong attention to detail. - Effective problem-solving skills. - Knowledge of regulatory requirements related to personal trading. - Ability to coordinate with multiple departments. - Prior experience in employee compliance or a related field is preferred. (Note: No additional details of the company were present in the job description),