Ethics/Compliance Analyst Jobs

Major Purpose

Through its administration of the Code of Conduct, the Ethics Office (“Office”) furthers client independence and the integrity of its regulatory efforts. Using a significant knowledge of the Code of Conduct, investment accounts and securities products, the Analyst provides important contributions to this critical function of clients corporate governance.

Using the Code of Conduct Compliance System (“CCCS”) and related resources, the Analyst performs activities intended to ensure the accuracy and timeliness of employee financial disclosures and reports regularly on the status of such to senior management. The Analyst, with the guidance from the Associate Director, detects and resolves trading violations identified through surveillance sweeps and those self-reported by employees. The Analyst participates with the Associate Director in consultations with employees at all levels concerning policy requirements and the resolution of violations when those occur. Other responsibilities include evaluation of financial hardship waiver requests of increasing complexity and supporting the analysis and updating of client Prohibited Company List. At all times the Analyst maintains strict confidentiality of sensitive financial and personal information.

The Analyst is defining their key skills across broader functional areas, working under limited supervision by the Associate Director.

Essential Job Functions Other Responsibilities:

• Responsibly handles large amounts of sensitive information in a manner that always maintains confidentiality.
• Participates with the Associate Director in providing consultations to candidates for hire concerning the Code’s financial disclosure requirements and trading restriction policies, the availability of hardship waivers and requirements to be satisfied prior to starting work at client. Provides written synopsis within case management system.
• With the Associate Director, the Analyst evaluates trading violations identified through surveillance sweeps and those self-reported by employees, calculates required disgorgements and recommends resolutions within the criteria established by the Office.
• Responds to oral and written inquiries of increasing complexity from employees and managers across client concerning financial disclosure and trading restriction requirements.
• Ensures timely maintenance of the electronic account feeds, investigating and resolving apparent issues. Escalates unresolved matters to the Associate Director.
• Responsible for prohibited securities waiver requests and related communications with the employee and their management team including, executive vice president. Conducts financial hardship analysis of increasing complexity, performs monitoring of approved waivers to ensure liquidation requirements are satisfied.
• Drafts updates to written procedures and presents those to the Associate Director.
• Reviews the quality of employee account disclosures and identifies apparent compliance issues. Addresses incomplete or untimely disclosures.
• Supports the Associate Director with the case management system, including assigning new cases based on subject matter expertise or complexity and monitoring active cases for timely completion and closure. Prepare quantitative and qualitative metrics and reports to support program goals and objectives.

Education/Experience Requirements

• Excellent verbal and written communication skills are mandatory; position entails extensive telephonic and written communication with employees and managers throughout the organization; tact and courtesy are essential.
• Extensive knowledge of basic securities and options, securities and options transactions, and securities account types is required; familiarity with broker-dealer back-office operations a plus.
• Minimum of five (5) years of experience in a securities-related compliance program.
• Ability to function effectively in a team environment is required
• Expertise in the use of Microsoft Excel, and Microsoft Word; experience working with Zoom, PowerPoint, Access, and Adobe Acrobat strongly preferred.
• Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial services industry demonstrating research/analytical skills.
• Must have demonstrated experience effectively managing multiple deadlines and priorities; excellent organizational and project management skills are required.
• Attention to detail, good data analytical skills, accuracy and critical thinking are essential.