Responsibilities include administration of the firm’s employee personal trading policy and procedures, including approving pre-clearance requests, maintenance of the employee trading database, back-end reporting and reporting to senior management. This role will also be responsible for reviewing employee emails and social media sites.
• Administration of the firm’s personal trading policy, including, monitoring employee personal trading activities, resolving exceptions and maintaining satisfactory records using the PTA automated personal trading system.
• Review emails and instant messages for any violations regarding Business Ethics and Insider Trading
• Conduct ongoing testing of various policies and procedures
• Facilitate annual review process of employees’ outside business activities and private placements
• Review, approval and reporting of employee gifts and entertainment items
• Conduct forensic testing of trades, political contributions, marketing materials; information barriers and other items
• Assist with monthly/quarterly and ad hoc client reporting, liaison with marketing and client service on reviewing and responding to RFPs and DDQs.
• Assist other members of the Compliance Department in other aspects of compliance such as portfolio surveillance
• Minimum 2-5 years relevant work experience in the financial services industry at an Investment Advisor, Broker-Dealer and /or related firm
• Ability to manage priorities and handle multiple projects simultaneously is essential; must be deadline oriented
• Excellent computer skills and knowledge of MS Office , including Outlook, Word, Excel, and PowerPoint
• Excellent communication skills (effective in oral, written and presentation settings)
• Strong interpersonal skills with the ability to build relationships within and outside the company
• Superior organizational skills; careful and thorough, with particular attention to detail