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Subject: Employee Trading Compliance New York

Gerald Elliott posted a job: Employee Trading Compliance New York

"Our client, a top-tier ratings agency, seeks a Senior Compliance Associate. The candidate must have employee trading, control room experience and their focus will be on personal trade monitoring. Specifically they need someone to understand stocks and have good communication skills. This function will include securities trade monitoring and the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information. The candidate will be responsible for administering the firm’s Securities Trading Policy and associated procedures, assessing employee securities transactions and holdings for potential conflicts, managing restricted lists, reviewing equity positions and providing assistance on research related matters. Additional responsibilities for this position: • Participate in all aspects of the day-to-day operations of the Control Room • Provide oversight and maintenance of employee securities trading classifications, restricted lists and exempted securities • Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists • Manage daily monitoring of employee trades, including pre & post trade clearance, exceptions, appeals, and resolution tracking • Maintain books and records relating to the Control Room • Prepare reports to senior management regarding the status of monitoring of trade activities and investigations • Respond to queries from employees • Provide advice and guidance to business lines and Compliance teams on relevant coverage issues • Assist in other compliance tasks as required to ensure team objectives are achieved Qualifications: • Minimum of 5 years experience in a Control Room function and relevant monitoring of employee securities trading • College Degree • Advanced knowledge in conflict management, information walls, insider dealing, investment research and regulatory disclosure obligations • Core understanding of variations in global laws and regulations • Working knowledge of Microsoft Office software suite, Bloomberg, and a compliance monitoring tool such as SunGard’s Protegent PTA • Excellent analytical skills • Strong written and verbal communication skills To apply please submit your resume to Info@compliancesearch.com"

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