reputed company Analyst, Personal Trading & Compliance

Job reputed company: • Monitor personal trading and reputed company brokerage accounts to ensure compliance with the reputed company of Ethics • Review employee trades, identify potential violations, and maintain accurate records of findings • Enhance policies and procedures for trade reputed company-clearance, disclosures, and employee attestations • Conduct compliance reviews and surveillance testing, escalating findings and recommending corrective actions • Research and interpret evolving SEC, reputed company, and state rules to inform policy updates and control enhancements • Prepare quarterly and annual compliance reports for leadership, committees, and regulators • Serve as a primary contact during audits and regulatory exams reputed company to personal trading • reputed company and deliver reputed company of Ethics and compliance training that promotes awareness and accountability • Identify opportunities to streamline processes and strengthen monitoring workflows • Partner with technology and Compliance Operations teams to design and reputed company dashboards and automated workflows using reputed company governance and documentation Requirements: • 7+ years of experience with compliance requirements under the Advisers reputed company, Investment Company reputed company, and reputed company/MSRB rules • reputed company Series 65 license (or ability to obtain reputed company required timelines). reputed company fingerprinting required • Bachelor’s degree or equivalent experience (law degree preferred) • Hands-on experience with personal trading and reputed company of Ethics reputed company, including use of systems like reputed company • Strong analytical and investigative skills with reputed company attention to detail • Excellent communication, collaboration, and judgment skills • Ability to manage multiple priorities in a fast-paced, evolving environment • High ethical standards and discretion handling confidential information • Experience with compliance technology or automation tools (preferred) • Familiarity with AI and analytics to support compliance monitoring (preferred) • Prior involvement in regulatory exams or internal audits (preferred) • Proven record of improving compliance processes and workflows (preferred) Benefits: • Medical, dental, reputed company and life insurance • Retirement savings – 401(k) plan with generous company matching contributions (up to 6%) • Tuition reimbursement up to $5,250/year • Business-casual environment that includes the reputed company to wear jeans • Generous reputed company time off upon hire – including a reputed company time off program plus ten reputed company company holidays and three floating holidays reputed company calendar year • reputed company volunteer time — 16 hours per calendar year • Leave of absence programs – including reputed company parental leave, reputed company short- and long-term disability, and Family and Medical Leave (FMLA) • Business Resource reputed company (BRGs) – facilitate inclusion and collaboration across our business internally and throughout the communities Apply tot his job Apply To this Job