Employee Compliance Analyst - Non Exempt, Florida

Key Responsibilities:

" Perform functions relating to Personal Account Dealing, Code of Ethics, and Employee Compliance Attestations for the Americas region.

" Review and approve personal employee trading accounts ensuring all requisite documentation is received and maintained.

" Perform conflict check analysis on employee personal trade requests.

" Maintain a working knowledge of all Employee Compliance, Related Policies and Key Operating Procedures.

" Manage and monitor assigned tasks related to late account disclosures, declined accounts, exception requests, and unmatched brokerage accounts.

" Review the daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm s Trading Policies.

" Perform research and investigations to identify the reason for potential violations.

" Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements.

" Assist in performing user acceptance testing, report post implementation issues and provide feedback on potential system enhancements.

" Assist with monitoring and reporting on global compliance periodic attestation requests.

" Escalate and communicate clearly, both in writing and orally, with peers, manager, and employees regarding issues encountered, questions and any violations of policy.

" Establish and maintain close collaborative working relationships with all department key business partners.

You will have:

" Minimum of a Bachelor s degree or equivalent work experience.

" Strong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential data, across all mediums with staff at all levels.

" An interest in financial markets and a willingness to learn.

" Ability to identify, escalate and communicate issues to management in an effective and succinct manner.

" Ability to multi-task on several different assignments/projects, meet deadlines, and perform well under pressure.

You will be:

" Capable of exercising sound judgement and good decision-making in managing risk.

" Organized and able to multi-task and appropriately prioritize deliverables

" Skilled with MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation)

" Forward thinking and self-driven with the ability to see opportunities in challenges.

" A strong team player, able to work effectively under pressure and to meet tight deadlines.

" Able to share information, knowledge and expertise with team members and stakeholders in varying teams and across the hierarchy.

" Demonstrating integrity, trust and fairness in all that you do.