Description

Job Summary

Under general supervision, responsible for monitoring activities related to the firm’s Code of Ethics, primarily involving the trading activities of Access Persons. This individual will be responsible for the identification of the firm’s Access Persons, the review of pre-trade clearance requests made by Access Persons, and the post-trade monitoring of Access Person’s personal trading activity. Additionally, this individual will assist Enterprise Risk Management with due diligence supplier reviews when impactful to our business area. This role will also support the portfolio monitoring and oversight of investment programs.

Essential Duties and Responsibilities

• Identifies the firm’s Access Persons and monitors for new hires, transfers, and terminations using various reports.

• Reviews pre-trade clearance requests made by Access Persons of the firm as defined by the Code of Ethics and communicates approvals/denials as required.

• Conducts post-trade monitoring of the firm’s Access Persons, and sends out violation notices if necessary.

• Provides a due diligence review of vendor supplier documentation in coordination with the Enterprise Risk Management department.

• Designs, implements, and executes activities related to portfolio monitoring and oversight.

Qualifications

Essential Duties and Responsibilities

• Identifies the firm’s Access Persons and monitors for new hires, transfers, and terminations using various reports.

• Reviews pre-trade clearance requests made by Access Persons of the firm as defined by the Code of Ethics and communicates approvals/denials as required.

• Conducts post-trade monitoring of the firm’s Access Persons, and sends out violation notices if necessary.

• Provides a due diligence review of vendor supplier documentation in coordination with the Enterprise Risk Management department.

• Designs, implements, and executes activities related to portfolio monitoring and oversight.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance reviews.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

• Fundamental investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in:

• Overseeing compliance programs.

• Integrating and aligning compliance processes and procedures with business processes.

• Coordinating complex compliance activities.

• Providing support and guidance for compliance efforts.

• Identifying and implementing controls and quality assurance processes.

• Reviewing materials for compliance with rules and regulations.

• Researching compliance issues.

• Developing compliance training programs.

• Gathering information and preparing oral and written reports.

• Preparing and delivers written and oral presentations.

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

• Operating standard office equipment and using required software applications.

Ability to:

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

• Gather information, identify linkages and trends, and apply findings to assignments.

• Interpret and apply securities and/or banking regulations and identify and recommends policy and procedural changes as appropriate.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

• Work independently as well as collaboratively within a team environment.

• Provide a high level of customer service.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirement

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in the financial services industry, compliance, or risk management.

or

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Travel

None Required

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Other Locations: US-CO-Denver-Denver

Organization RJA Compliance Administration

Schedule Full-time

Job Shift Day Job

Travel Yes, 10 % of the Time

Req ID: 2402185