Senior Compliance Associate, Personal Account Dealing
Core
Manage the firm's personal account dealing program by adjudicating employee trading pre-clearance requests, monitoring holdings for policy breaches, and administering compliance systems for both traditional securities and digital assets.
Role type
Senior IC compliance associate (personal account dealing)
Builds
Employee trading compliance program covering equities and digital assets
Domain
Financial services / Digital assets / Compliance
Required skills
Pre-clearance adjudication, breach investigation, restricted list maintenance, MNPI coordination, gifts/entertainment review, regulatory alignment, policy contribution, audit support, system administration, analytical reconstruction of trading activity
Preferred skills
STAR Compliance platform experience, experience with comparable employee compliance platforms (ComplySci, MyComplianceOffice), experience running/administering a personal trading program
Technologies
STAR Compliance, ComplySci, MyComplianceOffice, Schwab Compliance Technologies
Responsibilities
Review and adjudicate employee pre-clearance requests for personal securities and digital asset transactions; Investigate suspected breaches of the personal account dealing policy; Maintain the firm's restricted and watch lists; Coordinate with Legal and business heads on MNPI updates; Review and disposition gifts, entertainment, and outside business activities; Maintain regulatory alignment and support audit readiness
Seniority
Senior, hands-on IC
