Compliance Analyst

Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes:

Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes.

Reviewing Post-Trade Exceptions: Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards. This involves thorough analysis and documentation to ensure compliance with regulatory requirements.

Reviewing Employee Transactions: Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review. Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies.

Reviewing Terminated Employee Accounts: Examine terminated employee accounts and ensure timely initiation of feed disconnection requests. This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly.

Resolving Personal Trading Data Issues: Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors. This requires attention to detail and effective problem-solving skills to ensure data integrity.

Supporting the Employee Compliance Policy and Advisory Team: Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email. This involves prioritizing and categorizing queries to ensure efficient handling and resolution.

Reviewing Mailboxes for Employee Responses: Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items. This ensures that all actions are documented and tracked effectively.

Routine Follow-Up: Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting. This includes maintaining communication with employees to verify transaction details and ensure compliance.

This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes.