Senior Specialist, Compliance & Control

Job description

In this role, you’ll make an impact in the following ways: - Supports day-to-day Securities Trading Conduct compliance efforts, with a focus on transaction monitoring. - Review and investigate employees’ transaction monitoring alerts in a timely manner, ensuring adherence to the Policy - Provide guidance to employees on the Personal Securities Trading Policy - Ensure adequate records are maintained when closing alerts - Review any escalated items and if required, escalate items - Ensure employees transfer reportable accounts to an approved broker - Work with the business compliance officers as required during escalation process - Attend meetings and workshops as required in relation to the Personal Securities Trading Policy - Assist with ad-hoc projects as required To be successful in this role, we’re seeking the following: - Knowledge of the financial services industry, U.S. securities markets, investment instruments, and compliance concepts - Strong analytical skills, problem-solving ability and attention to detail; - Experience in Financial Services, Audit or Compliance background - Technical skills, particularly proficiency in Excel - Excellent interpersonal skills and a collab...