New job Compliance VP – Securities Trade Monitoring New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance VP – Securities Trade Monitoring New York, NY Gerald Elliott posted a job: Compliance VP – Securities Trade Monitoring New York, NY "Our client is a premier ratings agency seeking an experienced compliance professional to supervise the securities trade monitoring function for the company. The incumbent will be responsible for 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 managing all processes related to the firm’s Securities Trading Policy and assessing employee securities transactions and holdings for potential conflicts. He/she will also provide guidance on trading to Compliance and company stakeholders, manage restricted lists, review equity positions and provide assistance on research related matters. Responsibilities: Analyze specific actions/transactions and conduct pre- and post-trade analysis Manage  securities trade monitoring systems, processes and data gathering Prepare reports for senior management regarding the status of monitoring of trade activities and investigations Align securities trade monitoring with other ratings process surveillance efforts to prevent conflicts of interest and to monitor access to confidential information Manage employee outreach and training for Securities Trading Policy and related processes Provide advice and guidance to business and compliance teams on relevant coverage issues Analyze business processes and eliminate or minimize the risk of breaches of regulatory requirements related to employee securities trading     Qualifications: BA/BS required, JD/MBA preferred 7+ years experience in with securities trading monitoring systems and control room processes  Advanced knowledge in conflict management, information walls, market abuse, insider dealing, investment research and regulatory disclosure obligations. Core understanding of variations in global laws and regulations Working knowledge of systems, technology and databases To apply please submit your resume to Info@compliancesearch.com"

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