Employee Compliance Analyst, Florida

Employee Compliance Analyst

Jacksonville, FL (Hybrid)

Contract 6 months with extension

Rate: $35/hr W2 all inclusive

The role will be hybrid (M-W) in the office and Thursday and Friday remote.

*Bilingual in Portuguese is a plus

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.

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

You will be:

• 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)