Employee Compliance Analyst, Florida

Bilingual in Portuguese is a plus but not a requirement

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

" 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.