Compliance Consultant 2
The Control Group is responsible for monitoring and safeguarding the flow of material nonpublic information and preventing and detecting insider trading through the use of information barriers and institutional and employee trade surveillance.
The employee trade surveillance officer will work in a team environment and will be responsible for performing various tasks in support of the employee trade surveillance program. This will include the review of surveillance reports regarding employee trading, with particular focus on insider trading and reputational risk. Job responsibilities will include effectively completing tasks and evaluating potential exceptions based on securities laws, regulations and internal policy, In addition, the employee will be expected to effectively communicate results of his or her analysis to other compliance professionals and management in both written and verbal formats.
Additionally, provide value added subject matter expertise on the Personal Investment Policy and Information Barrier controls. Finally, assist in risk management projects as it relates to employee trade surveillance and other responsibilities of the Control Group.
4+ years compliance experience.
3+ years experience in securities operations, compliance, surveillance, risk/project management or related experience
Understanding of insider trading regulations and industry standards
Ability to demonstrate analytical, verbal and written communication skills, including the ability to deliver difficult messages in a positive, professional and informative manner
Ability to interact with all levels of management
Must have great attention to detail and strong organizational skills with the ability to work under pressure and prioritize workload while meeting critical deadlines
Possess a strong multitask work ethic and able to work collaboratively with others in a team based cross-functional environment
Have the ability to handle confidential information and matters with utmost discretion
Bachelors degree in Business or a related field or advanced degree.
Hold Series 79 or obtain in a reasonable time frame
A premium placed on professional maturity and high energy level.
Creative and strategic thinker
Wells Fargo - 2 years ago
Wells Fargo & Company is a financial holding company and a bank holding company. It is a diversified financial services company. It...