Compliance Analyst

Get AI-powered advice on this job and more exclusive features. Phyton Talent Advisors provided pay range This range is provided by Phyton Talent Advisors. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $24.00/hr - $27.00/hr Our client, a Global Investment Bank, is seeking a Compliance Analyst in their Jacksonville, FL location: 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.

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