Compliance Analyst

Essential Job Functions:

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 documenta...