Compliance Analyst

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.