Employee Investing and Activities Compliance, Associate/Director
Core
Compliance professional managing employee trading policies, outside business interests, and private investment disclosures for Wealth Management employees.
Role type
Associate/Director, Legal & Compliance
Builds
Compliance oversight for employee trading and outside business activities
Domain
Financial Services / Wealth Management
Deliverable
dashboards & analysis
Required skills
Knowledge of industry regulations, compliance experience, proficiency with business technology systems, attention to detail
Preferred skills
Wealth Management compliance experience
Responsibilities
Review and process outside business activity and private investment disclosures, Provide guidance on Employee Trading and Outside Business Activity policies, Follow up with employees and designated managers on pending requirements, Assist with gathering employee information for regulators and Internal Audit, Collaborate with risk teams on potential employee trading violation reviews