Compliance Associate - Control Room

The Compliance team is seeking a full time Assistant Vice President / Associate with responsibility across multiple areas of focus including: employee compliance, Control Room, and IT compliance.

Responsibilities:

Employee Compliance

• Monitor and evaluate employee compliance with the Firm's policies and procedures, including those related to personal trading, account disclosure, and outside activities
• Review and respond to employee personal trade and brokerage account requests
• Conduct investigations into potential compliance violations, document findings and recommend corrective actions as necessary

Control Room

• Maintain, update, and monitor the Firm's Watch List and Information Barriers
• Provide guidance to employees and enforce policies and procedures related to Watch List management and the timely reporting of material non-public information
• Conduct periodic reviews and assessments to ensure the effectiveness of information barriers and internal control processes
• Investigate potential breaches related to Information Barrier and Watch List reporting, documenting findings and recommending corrective actions as necessary

Information Technology Compliance

• Collaborate with the Firm's IT team to leverage existing and new technologies to support the Firm's supervisory and surveillance programs
• Conduct compliance assessments around Firm wide technology initiatives and provide guidance on compliance and regulatory implications
• Manage IT access requests to ensure compliance with Firm policies and applicable regulatory requirements
• Monitor and analyze data access and usage to ensure compliance with Firm policies
• Contribute to procedures to regularly review compliance with the Firm's electronic access and permissions policies and procedures

Skill and Qualifications:

• Bachelor's Degree
• 3-5 years' experience in a compliance role within the financial services industry
• Familiarity with Control Room operations, Watch/Restricted List management, employee compliance and personal trading, and IT compliance
• Strong technical skills including Microsoft Suite (Excel, PPT, Word, etc.)
• Ability to merge multiple datasets, synthesize and prepare summarized reports in Excel and PowerPoint
• Experience with Varonis or similar tools for data access and usage monitoring, permissions management, and data security is highly desirable
• General knowledge of file sharing tools and APIs used in the financial services industry
• Detail-oriented with excellent organizational and documentation skills
• Strong communication skills and comfortable communicating with a wide range of employees of all levels across the Firm