Personal Trading and MNPI Compliance Assessment

TALENT SHIFT; Charlotte (NC); Híbrido; USD 83.000 - 131.000; Jornada completa

Descripción de la vacante

TALENT SHIFT is seeking a Control Room Compliance professional to assess Personal Trading and MNPI Information Barrier processes on a contract basis. The role can be based in Charlotte, NC or Midtown Manhattan, with an initial duration of three months and potential extension.

The position emphasizes process redesign, risk assessments, and governance framework development in collaboration with stakeholders. Responsibilities include mapping current processes, identifying gaps, and delivering

Formación

• Bachelor’s degree or higher in accounting, finance, or other related fields.
• 5+ years of relevant Personal Trading and MNPI/Information Barriers Compliance experience
• Qualified applicants must reside in the continental U.S.
• Must be legally authorized to work in the United States now and in the future. Visa sponsorship is not available for this position.

Responsabilidades

• Assess and redesign Personal Trading and MNPI/Information Barriers compliance processes to improve efficiency, effectiveness, and regulatory alignment.
• Perform process mapping, risk assessments, and controls evaluations to identify gaps and enhancement opportunities.
• Partner with business, compliance, risk, and technology stakeholders to develop future-state operating models and governance frameworks.
• Support data integration, automation, and change management initiatives while developing executive-ready deliverables and recommendations.

Conocimientos

MNPI Compliance

Educación

Bachelor’s degree or higher in accounting, finance, or related fields

Descripción del empleo

Overview

We are looking for an Control Room Compliance professional to assess Personal Trading and MNPI Information Barrier processes a project basis. This contract role is can sit in Charlotte, NC or Midtown Manhattan and has an initial duration of 3 months with possible extension.

Responsibilities

• Assess and redesign Personal Trading and MNPI/Information Barriers compliance processes to improve efficiency, effectiveness, and regulatory alignment.
• Perform process mapping, risk assessments, and controls evaluations to identify gaps and enhancement opportunities.
• Partner with business, compliance, risk, and technology stakeholders to develop future-state operating models and governance frameworks.
• Support data integration, automation, and change management initiatives while developing executive-ready deliverables and recommendations.

Qualifications

• Bachelor’s degree or higher in accounting, finance, or other related fields
• 5+ years of relevant Personal Trading and MNPI/Information Barriers Compliance experience
• Qualified applicants must reside in the continental U.S.
• Must be legally authorized to work in the United States now and in the future. Verification of employment eligibility will be required at the time of hire. Visa sponsorship is not available for this position.

About TALENT SHIFT, LLC

Talent Shift, LLC is a marketplace that matches professionals with projects at dynamic companies across the globe, including exciting opportunities in advisory, assurance and tax. Our community is cultivated by a team of dedicated professionals working to help clients navigate hybrid workforce strategies and connect contract workers with projects they love. Talent Shift, LLC is a subsidiary of Forvis Mazars, LLP. Forvis Mazars, LLP is an equal opportunity/affirmative action employer in accordance with applicable law. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, gender identity, or other protected classifications.

Equal Opportunity Employer Veterans/Disability

Colorado's Equal Pay for Equal Work Act (SB 19-085)

Pursuant to Colorado’s Equal Pay for Equal Work Act, the salary range displayed is for the Colorado market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.

California Pay Transparency

Pursuant to the pay transparency laws of California, the salary range displayed is for the California market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.

California Fair Chance

Talent Shift will consider for employment all qualified applicants, including those with criminal histories, arrest and conviction records, in a manner consistent with the requirements of applicable state and local laws, including but not limited to the California Fair Chance Act, City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, LA County Fair Chance Ordinance, and the San Francisco Fair Chance Ordinance.

New York Pay Transparency

Pursuant to the pay transparency laws of New York State and other local ordinances within the state including (but not limited to) New York City, the salary range displayed is for the New York markets. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Talent Shift reserves the right to make changes to the salary range based on business needs.

Maryland Wage Range Transparency Law

Pursuant to Maryland’s Wage Range Transparency Law, the salary range displayed is for the Maryland market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Positions that are non-exempt will be eligible for overtime pay compensable at a rate of one and a half times the hourly rate for any hours worked over 40 in a work week. Benefits are eligibility-based and could include group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.

Massachusetts Wage Transparency Act

Pursuant to the Massachusetts’ Wage Transparency Act, the salary range displayed is for the Massachusetts market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Positions that are non-exempt will be eligible for overtime pay compensable at a rate of one and a half times the hourly rate for any hours worked over 40 in a work week. Benefits are eligibility-based and could include group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.

Illinois Equal Pay Act

Pursuant to Illinois’ Equal Pay Act, the salary range displayed is for the Illinois market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Non-exempt/hourly positions will be eligible for time and half pay for employees that work over 40 hours in a workweek. Benefits are eligibility-based and could include group health plan benefits, 401(K), bonuses, profit-sharing contributions, flexible time off, and parental leave. For more information on benefits, please visit https://resourcecenter.forvismazars.us/ . Forvis Mazars reserves the right to make changes to the salary range based on business needs.

New Jersey Pay Transparency Law

Pursuant to New Jersey’s Pay Transparency Law, the salary range displayed is for the New Jersey market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Positions that are non-exempt will be eligible for overtime pay compensable at a rate of one and a half times the hourly rate for any hours worked over 40 in a work week. Benefits are eligibility-based and could include group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.

Virginia Wage Transparency

Pursuant to Virginia's Equal Pay Law, the salary range displayed is for the Virginia market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Positions that are non-exempt will be eligible for overtime pay compensable at a rate of one and a half times the hourly rate for any hours worked over 40 in a work week. Benefits are eligibility-based and could include group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.

Vermont Act 155

Pursuant to Vermont Act 155, the salary range displayed is for the Vermont market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Positions that are non-exempt will be eligible for overtime pay compensable at a rate of one and a half times the hourly rate for any hours worked over 40 in a work week. Benefits are eligibility-based and could include group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Talent Shift reserves the right to make changes to the salary range based on business needs.

Washington Equal Pay and Opportunities Act

Pursuant to Washington’s Equal Pay and Opportunities Act, the salary range displayed is for the Washington market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Positions that are non-exempt will be eligible for overtime pay compensable at a rate of one and a half times the hourly rate for any hours worked over 40 in a work week. Benefits are eligibility-based and could include group health plan benefits such as medical, dental, vision, tax-savings plans, 401(K), profit-sharing contributions, flexible time off, holidays, and parental leave. Talent Shift reserves the right to make changes to the salary range based on business needs.

Minnesota Wage Transparency

Pursuant to the Minnesota’s Wage Transparency Act, the salary range displayed is for the Minnesota market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Positions that are non-exempt will be eligible for overtime pay compensable at a rate of one and a half times the hourly rate for any hours worked over 40 in a work week. Benefits are eligibility-based and could include group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.