Senior Specialist, Compliance & Control

In this role, you’ll make an impact in the following ways:

• Supports day-to-day Securities Trading Conduct compliance efforts, with a focus on transaction monitoring.
• Review and investigate employees’ transaction monitoring alerts in a timely manner, ensuring adherence to the Policy.
• Provide guidance to employees on the Personal Securities Trading Policy.
• Ensure adequate records are maintained when closing alerts.
• Review any escalated items and if required, escalate items.
• Ensure employees transfer reportable accounts to an approved broker.
• Work with the business compliance officers as required during escalation process.
• Attend meetings and workshops as required in relation to the Personal Securities Trading Policy.
• Assist with ad-hoc projects as required.

• Knowledge of the financial services industry, U.S. securities markets, investment instruments, and compliance concepts.
• Strong analytical skills, problem-solving ability and attention to detail.
• Experience in Financial Services, Audit or Compliance background.
• Technical skills, particularly proficiency in Excel.
• Excellent interpersonal skills and a collaborative mindset.