Compliance - Operations - Analyst
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's reputational risk associated with a variety of matters; monitors for compliance with existing and new laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries.
You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 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; private investments, outside interests, and political contributions; and the pre-clearance process for employees' personal trading activities.
Principal Responsibilities
- Work with employees to ensure all necessary personal trading details are provided to the firm to enable trade monitoring in accordance with regulatory requirements
- Review employee requests to open and maintain personal brokerage accounts
- Review employee trading activity for potential conflicts of interest, policy or regulatory violations
- Conduct investigations to identify policy breeches
- Assist in the development of firm policy to ensure compliance with global personal trading laws and regulations
- Assist in the development of controls and system enhancements to improve the firm's compliance program
- Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers
Skills
- Work with employees to ensure all necessary personal trading details are provided to the firm to enable trade monitoring in accordance with regulatory requirements
- Review employee requests to open and maintain personal brokerage accounts
- Review employee trading activity for potential conflicts of interest, policy or regulatory violations
- Conduct investigations to identify policy breeches
- Assist in the development of firm policy to ensure compliance with global personal trading laws and regulations
- Assist in the development of controls and system enhancements to improve the firm's compliance program
- Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers
Must Haves
Bachelors Degree. SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at if you require reasonable accommodation.