Senior Specialist, Compliance & Control

Responsibilities

• 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, escate them.
• Ensure employees transfer reportable accounts to an approved broker.
• Work with the business compliance officers as required during the escalation process.
• Attend meetings and workshops as required in relation to the Personal Securities Trading Policy.
• Assist with ad-hoc projects as required.

Qualifications

• 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 collaborative mindset.

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