Compliance - Regulatory Compliance -Analyst

Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees' outside brokerage accounts and the pre-clearance process for employees' personal trading activities. 

Principal Responsibilities

GCES team members work closely with business, legal and other compliance teams within the firm. While working to address various employee related compliance matters - the primary responsibilities of GCES team members include:

• Apply, develop and implement procedures, practices and controls related to compliance disclosures, licensing/registration and personal trading 
• Research applicable rules and interpret guidance in areas of compliance disclosures, licensing/registration and personal trading 
• Take ownership of processes and controls within the team, drive the development of methods to improve processe...