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The candidate will serve primarily as an Employee Trading/Personal Account Dealing Officer for the Americas region.
Primary responsibilities will be enforcing the Global Personal Account Dealing and Global Outside Affiliations & Private Investments Policy by ensuring proper disclosure, review, pre-approval, and monitoring of employee personal account activities and outside business interests.

Main Duties *Review and pre-approve employee trade requests. *Investigate and escalate violations of the Personal Account Dealing Policy. *Review employee trade activity reports to ensure proper pre-approval was received for covered transactions. *Receive, review, and file paper-based account statements and confirmations related to employee accounts. *Distribute and collect personal account and outside business affiliation disclosure forms for new hires. *Track outstanding forms and coordinate with HR/Resourcing teams and Global Compliance officers to obtain completed forms within reasonable timeframe. *Send out reminder notifications to individuals who fail to respond to disclosure requests and escalate non-responders as appropriate. *Liaise with representatives from designated brokerage firms to ensure timely, accurate data feeds.

Person Requirements

*Location: New York, NY *Regular Business Hours *Undergraduate degree required *2-5 years experience in related role in financial services (does not have to be compliance experience)

Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com