Manager Compliance Personal Securities Trading

Profile

Manager Compliance, Personal Securities Trading
The candidate reports to the Director, Personal Securities Trading Operations, and will help lead personal trading efforts within the Compliance Department. Will be expected to handle issues professionally and use appropriate discretion and judgment. Lead, coach and develop onshore and offshore teams. Support department audits and exams. Oversee all day-to-day operations which consist of reviewing compliance reports, managing the preclearance approval process, researching post trade transactions and monitoring trading exception reports. Conduct surveillance activities relative to trading company stock. Develop a full understanding of the securities monitoring process especially as it relates to monitoring classifications, which may overlap. Identify opportunities to make process improvements. Manage, oversee, or participate in large scale initiatives including but not limited to system rationalization(s), implementation(s), and request for proposals. Partner with local business unit Compliance Officers to execute or implement new or revised initiatives. Author/revise policies and procedures that are narrowly defined for a specific target audience or broad-reaching in nature. Support project planning activities including but not limited to drafting and maintaining the project plan, recording decisions and documenting dependencies. Draft and finalize procedural documents, visual aids and workflows as needed. Participate in or oversee user acceptance and regression testing including but not limited to script-writing, recording test outcomes, logging errors, pursuing closure on open items and retaining all supporting documentation in an organized and readily accessible manner. Project manage the annual Personal Securities Trading Policy distribution to all domestic and international employees. This includes testing of the distribution process, assuring all monitored employees are properly classified in the monitoring system, and working with business unit Compliance Officers to ensure timely receipt of all required attestations. Assist and help lead all aspects of the implementation of a cloud-based personal trading application. Support the reporting of personal trading policy violations. Monitor and enforce system access, privacy and information technology security protocols relative to personal and confidential data stored within the personal trading application/system. Monitor and update internal and external electronic feeds. Train and cross train new hires and other team members as needed. Act as compliance representative to liaise with other Compliance and Technology contacts across the organization and external to the company. Explain policies and procedures to associates throughout the company. Knowledge of restricted/watch lists and their operations. Bachelor’s degree required; Law degree or MBA is a plus. 5+ years of compliance experience within the financial services industry. Deep understanding of insider trading, FINRA personal securities trading regulations and industry, securities products and brokerage operations is required. FINRA series 7 preferred. Experience with industry standard personal trading vendor applications is a plus. Project management certification a plus. Proficiency in data mining and data modeling to draw insights and make connections using structured and unstructured data is a plus. Knowledge of personal trading requirements relative to Investment Adviser and Investment Company Acts required. Exceptional ability to issue-spot, recognize trends and conduct detailed investigative analysis. Strong interpersonal skills including the ability to explain sensitive information and detailed policies requirements to employees at all levels within the Company. Excellent verbal and written communication skills. Understands the complexities and nuances of a global environment. Will, preferably, have leadership and management experience and deal with highly sensitive information for employees throughout the Company, including the most Senior Officers and the Board of Directors.

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