Business Trainee
Core
Support the Global Ethics Office (GEO) by monitoring employee trading activities, reviewing transaction confirmations, and ensuring adherence to personal trading policies and compliance requirements.
Role type
Compliance operations specialist (trainee)
Builds
Internal compliance systems and processes for employee trading governance
Domain
Financial services / Investment management / Compliance
Required skills
Financial market understanding, Financial products knowledge, Analytical skills, Attention to detail, MS Office proficiency, Ethics and integrity
Preferred skills
Mutual fund industry experience, Cross-regional collaboration
Technologies
Internal compliance systems, Broker governance tools
Responsibilities
Review employee transaction confirmations and analyze periodic statements for conflicts; Perform transaction monitoring and validate trading activity against documentation; Review and assess personal trading pre-clearance requests; Support broker governance activities including account mapping and reconciliation; Monitor and track completion of employee compliance requirements; Support internal and external audit requests; Handle confidential employee information; Review system-generated compliance cases and support resolution; Maintain and document standard operating procedures (SOPs); Track, analyze, and report key performance indicators (KPIs) for compliance operations.
Seniority
Entry-level, Trainee
