Job Description
The Senior Compliance Analyst is responsible for ensuring adherence to personal trading policies and applicable regulations. This role supports post‑trade surveillance reviews of employee personal trading activity and reinforces the firm’s Code of Ethics and personal trading controls by identifying actual or potential conflicts of interest, insider trading risks and potential policy violations.
Position Responsibilities:
Overseeing day-to-day operations: Provide day-to-day compliance support, address inquiries related to the Code of Ethics.
Conduct and oversee compliance monitoring activities across assigned areas of responsibility.
Assist in performing comprehensive second line of defense reviews in accordance with Compliance monitoring and testing program.
Communicate findings and recommendation to Compliance leadership.
Coordinate with internal stakeholders to obtain relevant information necessary ...