Compliance Analyst

Compliance Analyst

We are seeking a temporary employee to help administer code of ethics and otherwise to help administer compliance program. The candidate will have day to day responsibility for the maintenance of the code of ethics, including processing employee trade and other requests; responding to employee questions; onboarding new employees; and operating the Firm’s code of ethics technology. The successful candidate will be a hard-working self-starter with an interest in compliance and can work independently. Paying $35/hr.

Responsibilities:

• Administer and monitor Code of Ethics compliance, including employee certifications, policy adherence, and ongoing regulatory reporting.
• Process and review employee pre-clearance requests for personal trading activity in accordance with firm policies and compliance regulations.
• Manage political and charitable contribution requests to ensure compliance with internal guidelines and regulatory requirements.
• Support a high volume of Code of Ethics-related activities, including surveillance, escalations, documentation, and employee communications.

Qualifications:

• Bachelor’s Degree
• 2-5 years of experience of code of ethics experience from a financial institution.