Description
The Senior Compliance Analyst will support the monitoring and analysis of the Firm's associates' personal trading to ensure compliance with its Code of Ethics policy and procedures, as well as other related policies. Data in the personal trading monitoring system pertaining to security, personal accounts, trading, and position information must be maintained and accurate.This person must have a strong grasp of pre-clearance, monitoring, and reporting of new and existing employee personal trading in securities and personal trading accounts. Work closely with the Manager of the Code of Ethics, brokers, IT, and the vendor to refine data feeds for the purpose of improving data quality and accuracy, as well as developing efficiencies in the data workflows. The Senior Analyst will also be responsible for training and updating associates as needed on the firm's Code of Ethics.
A Bachelors Degree, as well as a minimum of 3+ years of regulatory compliance (minimum of 1+ years experience working in a Code of Ethics monitoring group). Reach and analytical skill are paramount, as well as proficiency with MS Office, Bloomberg (or other similar data sources), CRD or other compliance systems. Strong organizational skills and attention to detail are paramount.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com