Sr. Associate, Enterprise Compliance

About the position

The Enterprise Senior Associate supports the planning for enterprise compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and to prevent illegal, unethical, or improper business practices within the organization. This job tests existing enterprise compliance controls within the organization to determine their effectiveness and to identify deficiencies. Under limited supervision, this job focuses on large projects and processes to identify, investigate and report compliance risks to compliance management. Correct compliance weaknesses by developing and discussing corrective action plans with Compliance Testing Directors and by preparing documentation of enterprise compliance activities to provide a record of issues and to track open issues through closure. The Enterprise Compliance Sr Associate for the Employee Conduct – Personal Trading/MNPI team will perform various monitoring and surveillance activities which include but are not limited to the following: Onboarding and designation of employees under the company’s Codes of Ethics/Personal Trading Policies. Review of associate personal trading activity and disclosure of accounts to ensure policy and regulatory compliance. Assist team in coordination and management of personal trading certification process. Help to develop and enhance EC desk procedures, job aides, associate reference guides and training course materials. Assist in the coordination and reporting of personal trading metrics in connection with monthly, quarterly and annual reports. Respond to employee inquiries and provide subject matter expertise, guidance, and policy interpretation for ethics matters raised by employees. Assist the EC team with special projects.

Responsibilities

• Support the planning for enterprise compliance programs.
• Test existing enterprise compliance controls to determine effectiveness.
• Identify and report compliance risks to compliance management.
• Develop and discuss corrective action plans with Compliance Testing Directors.
• Prepare documentation of enterprise compliance activities.
• Perform monitoring and surveillance activities for personal trading.
• Review associate personal trading activity and disclosure of accounts.
• Assist in coordination and management of personal trading certification process.
• Develop and enhance EC desk procedures and training materials.
• Coordinate and report personal trading metrics.
• Respond to employee inquiries regarding ethics matters.
• Assist the EC team with special projects.

Requirements

• 3+ years of working experience within compliance, finance or securities.
• Knowledge of relevant securities laws and practices.
• Strong Microsoft Suite skills and Excel proficiency including use of vlookups and pivot tables.
• Excellent verbal, written and interpersonal communication skills.
• Ability to interact with all levels of the organization including the Executive Management Team.
• Ability to collaborate across business lines to handle conflicts.
• Ability to prioritize workload and meet deadlines.
• Ability to work independently and adapt to changing priorities.

Nice-to-haves

• 5+ years of working experience within compliance, finance or securities.
• Experience in the asset management segment of the industry.
• Experience with personal trading surveillance systems/tools.

Benefits

• Comprehensive Total Rewards package.
• Superior retirement program.
• Highly competitive health, wellness and work life offerings.