Senior Analyst, Personal Trading & Compliance

This is a fully remote position, open to applicants in India.

📋 Description

• Oversees the personal trading activities of access persons and Empower representatives.

• Assesses external brokerage accounts and their trading activities.

• Investigates potential discrepancies, evaluates trends, and maintains precise records and reporting.

• Implements established protocols regarding employee trading, annual certifications, and recordkeeping.

• Conducts periodic testing activities to ensure compliance with internal policies.

• Generates routine reports and documentation for management and regulatory reviews.

• Offers daily support for Code of Ethics communications and training initiatives.

• Recognizes opportunities for process enhancement through analytics and AI-driven tools.

⛳️ Requirements

• A Bachelor’s degree in finance, accounting, or law is required; relevant work experience may also be accepted.

• At least 7 years of experience in Compliance, financial services, securities operations, investment adviser operations, or within a securities regulatory environment.

• Experience should encompass personal trading Compliance, administration of the Code of Ethics, employee surveillance, and/or trade monitoring systems (e.g., StarCompliance).

• Preference for experience in a global setting, particularly in supporting US regulatory or Compliance processes.

• FINRA fingerprinting is mandatory.

• Comprehensive understanding of securities laws and regulations relevant to investment advisers, broker-dealers, mutual funds, and/or personal trading Compliance programs.

• Exceptional analytical skills, attention to detail, sound judgment, and capability to manage multiple priorities in a deadline-oriented environment, including complex reviews, escalations, and regular reporting deliverables.

• Proficient in analyzing data, reviewing documentation, and clearly communicating findings, inquiries, and suggested actions.

• Ability to independently follow set procedures, identify potential issues, evaluate exceptions, recommend next steps, and escalate matters as necessary.

• Experience utilizing approved AI-enabled tools, including custom GPTs or similar workflow tools, to enhance efficiency, consistency, documentation, and reporting, while adhering to appropriate controls and governance.

• Strong written and verbal communication skills, with the ability to collaborate effectively with Compliance, legal, operations, technology, and business partners.

• Proficient in Microsoft Office, particularly Excel, and capable of learning and utilizing Compliance monitoring, workflow, and reporting systems.

• Ability to work efficiently across teams and time zones in a dynamic setting.

🏝️ Benefits

• Flexible work environment

• Fluid career paths

• Celebrate internal mobility

• Inclusive environment

• Thousands of hours volunteering