Compliance Officer

Position SummaryHighly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative team who supports the administration of Firms Compliance policies as it relates to personal trading and employee activities. Job Functions· Process personal account disclosure and pre-clearance forms· Review Gift and Entertainment requests· Action personal trading system tasks as it relates to unknown securities, feed tracking and unknown brokers· Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers· Review employee certification documents on an annual basis and action accordingly· Answer employee inquiries related to employee activities via the phone hotline and shared mailbox· Perform Ad hoc reporting and complete projects· Review reported outside business activities and private investments and perform conflict checks· Perform personal trading surveillance to ensure compliance with our personal trading policy.Qualifications· Excellent analytical, reasoning, and problem-solving skills.· Excellent verbal, written and interpersonal communication skills.· Ability to multi-task, meet deadlines and handle multiple projects/priorities· Ability to work well independently as well as collaboratively.· Detail oriented and adaptable· Motivated with a desire to learn and deliver results· Prior work experience with Code of Ethics or Personal Trading is an added advantage· Knowledge of the Financial Industry· Possess self-confidence and can interact successfully with all levels of personnel· Have a strong sense of responsibility and responsiveness Qualifications· Bachelor's/University degree· 3-5 years working in the financial industry.· Proficiency in Excel and Microsoft Office ApplicationsGoking for people who operate as business owners, adhere to the highest standards and thin

Created: 2025-03-12