 |
Job D5951 Description Click to apply: Please attach resume to mail |
| SOFT's client located in New York, NY ( Hybrid ) is looking for a Risk Analyst - Personal Trading Compliance Program for a long term contract assignment. Qualifications: • Relevant work experience in employee personal investment compliance (FINRA 3110(d) and 3210), or government ethics. • Substantive knowledge of financial products (ex., stocks, bonds, alternative investments, funds, IRAs, etc.). • Familiar and comfortable working with and presenting data, prior experience with data visualization tools preferable but not required. • Prior experience working with an employee trade monitoring and surveillance application (ex. MyComplianceOffice, FIS Employee Compliance Manager). • Strong ability to identify and analyze issues, draw conclusions, propose solutions, and communicate them orally or in written format. • Strong customer service skills with the ability to discreetly handle sensitive and confidential information. • Strong self-management skills. Ability to handle multiple assignments at once and produce results under tight time constraints, both independently and as part of a team. • Strong ability to manage projects and drive them from start to finish • High degree of attention to detail and organization. • Agility in adapting to changing work demands and business developments. Responsibilities: • Be a member of the client's Ethics Office, responsible for ensuring that all employees act with honesty, integrity, impartiality, and respect in all dealings with colleagues and the public. • Be part of the team responsible for the employee Personal Trading Compliance Program (PTCP). • Support an initiative that expands the use of the PTCP, including advise on best practices of an employee trade monitoring program; develop and draft policies, procedures, user guides; conduct training; engage with brokers regarding data feeds; oversee and maintain knowledge library; develop operational metrics, analyze data, and prepare status reports. • Address and resolve potential conflicts of interests identified through the personal trading monitoring tool or through the employee disclosure attestation process. Follow-up with employees as needed to resolve potential conflicts of interests. • Advise on investment restrictions, financial products, and ethics disclosure requirements. Conduct detailed research on financial products and financial arrangements, as needed. • Build and maintain effective relationships with business area liaisons, technology partners, and stakeholders. • Stay current with industry best practices for employee personal investment compliance programs. • Participate in ethics rotation for answering employee questions. Summarize and log ethics matters in internal database. • Perform other projects related to the Ethics Office as assigned. |
|