Strategic Staffing Solutions
Global Compliance Analyst
Strategic Staffing Solutions, Salt Lake City, Utah, United States, 84193
Sr. Technical Recruiter at Strategic Staffing Solutions
243751 Global Compliance Analyst
Location:
111 South Main Street, Salt Lake City UT 84111 Duration:
6 months ON SITE Pay rate:
23.00 Overview
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. This role will be part of the employee personal trading team with responsibilities listed below. 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. 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 Required 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 Seniority level
Associate Employment type
Contract Job function
General Business Industries
Financial Services and Investment Banking We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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111 South Main Street, Salt Lake City UT 84111 Duration:
6 months ON SITE Pay rate:
23.00 Overview
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. This role will be part of the employee personal trading team with responsibilities listed below. 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. 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 Required 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 Seniority level
Associate Employment type
Contract Job function
General Business Industries
Financial Services and Investment Banking We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr