Lead Analyst, Personal Trading & Compliance

Remote Jobs; Teletrabalho; BRL 541.000 - 721.000; Tempo integral

Resumo da oferta

A leading financial services employer is seeking a compliance professional with over 7 years of experience. Responsibilities include monitoring personal trading accounts, reviewing employee trades for ethical compliance, and preparing comprehensive reports for regulatory bodies. Ideal candidates will possess a FINRA Series 65 license and a bachelor's degree. The role offers a competitive salary up to $133,050, generous benefits, and opportunities for career advancement. Embrace a flexible work environment that promotes work-life balance.

Serviços

Generous paid time off

Comprehensive benefits package

Flexible work environment

Qualificações

• 7+ years of experience with compliance requirements under the Advisers Act and FINRA/MSRB rules.
• FINRA Series 65 license or ability to obtain it.
• Hands-on experience with personal trading and Code of Ethics oversight.

Responsabilidades

• Monitor personal trading and outside brokerage accounts for compliance.
• Review employee trades and maintain accurate records.
• Prepare compliance reports for leadership and regulators.

Conhecimentos

Compliance oversight

Analytical skills

Investigative skills

Attention to detail

Formação académica

Bachelor's degree or equivalent experience

Ferramentas

Compliance technology

Descrição da oferta de emprego

Employer Industry: Financial Services

Why consider this job opportunity

• Salary range up to $133,050
• Opportunity for career advancement with a focus on internal mobility
• Generous paid time off program, including paid volunteer time and holidays
• Flexible work environment that promotes work-life balance
• Comprehensive benefits package including medical, dental, vision, and retirement savings
• Business Resource Groups (BRGs) promoting inclusion and collaboration

What to Expect (Job Responsibilities)

• Monitor personal trading and outside brokerage accounts to ensure compliance with the Code of Ethics
• Review employee trades, identify potential violations, and maintain accurate records of findings
• Conduct compliance reviews and surveillance testing, escalating findings and recommending corrective actions
• Prepare quarterly and annual compliance reports for leadership, committees, and regulators
• Develop and deliver Code of Ethics and compliance training that promotes awareness and accountability

What is Required (Qualifications)

• 7+ years of experience with compliance requirements under the Advisers Act, Investment Company Act, and FINRA/MSRB rules
• FINRA Series 65 license (or ability to obtain within required timelines)
• Bachelor's degree or equivalent experience (law degree preferred)
• Hands-on experience with personal trading and Code of Ethics oversight
• Strong analytical and investigative skills with close attention to detail

How to Stand Out (Preferred Qualifications)

• Experience with compliance technology or automation tools
• Familiarity with AI and analytics to support compliance monitoring
• Prior involvement in regulatory exams or internal audits
• Proven record of improving compliance processes and workflows
• Demonstrated ability to train and influence employees at all levels

#FinancialServices #Compliance #CareerOpportunity #WorkLifeBalance #DiversityAndInclusion

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