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 level compliance manager (Legal & Compliance)
Builds
Compliance monitoring and reporting for employee trading and outside business activities
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory knowledge, compliance experience, policy interpretation, data gathering, system proficiency, issue resolution
Preferred skills
Wealth Management experience, securities industry registration
Responsibilities
Review and process outside business activity and private investment disclosures; Provide guidance on Employee Trading and Outside Business Activity policies; Maintain designated manager assignments; Follow up with employees and managers on pending requirements; Assist with gathering employee information for regulators and Internal Audit; Support trading violation reviews with risk teams.
Seniority
Associate/Director, hands-on IC with mentorship potential