Sr. Compliance Officer
Core
Monitor employee compliance with the Code of Ethics, Personal Trading Policy, and regional policies on outside business activities, gifts, and political contributions for North American employees.
Role type
Sr. Compliance Officer (Ethics & Personal Trading)
Builds
Compliance monitoring and education programs for North American staff
Domain
Financial Services / Investment Management
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Analytical skills, digital acumen, project coordination, policy interpretation, investigation skills, report monitoring
Preferred skills
Knowledge of financial services markets, ability to leverage AI for process improvement
Technologies
Star Compliance, Service Now
Responsibilities
Answer employee questions on personal trading and outside business activities; coordinate small- to mid-sized compliance projects; monitor completion of acknowledgement forms, brokerage listings, holdings reports, and transaction reports; review and approve/deny personal trading pre-clearance requests; conduct post-trade monitoring of personal securities transactions; investigate conduct violations and issue education letters.
Seniority
Senior, hands-on IC