Risk Analyst III

The Custom Group of Companies; New York (NY); On-site; USD 100,000 - 250,000; Full time

Job summary

A leading company in the financial sector seeks a Risk Analyst III to join their Ethics Office. The role involves ensuring compliance with personal investment practices while managing and supporting the Personal Trading Compliance Program. The ideal candidate should have a solid background in finance, strong analytical skills, and the ability to communicate effectively. This position offers opportunities for growth within a dynamic environment, engaging with various stakeholders and developing compliance policies.

Qualifications

• Experience in employee personal investment compliance required.
• Knowledge of financial products preferred.
• Strong analytical and data presentation skills.

Responsibilities

• Ensure compliance within the Ethics Office.
• Support the employee Personal Trading Compliance Program.
• Address potential conflicts of interest as needed.

Skills

Analytical skills

Customer service

Attention to detail

Project management

Data visualization

Education

Relevant work experience in employee personal investment compliance

Substantive knowledge of financial products

Tools

Data visualization tools

Job description

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• Be a member of the company's Ethics Office, responsible for ensuring that all employees act with honesty, integrity, impartiality, and respect in all dealings with colleagues and the public.
• Be part of the team responsible for the employee Personal Trading Compliance Program (PTCP).
• Support an initiative that expands the use of the PTCP, including advise on best practices of an employee trade monitoring program; develop and draft policies, procedures, user guides; conduct training; engage with brokers regarding data feeds; oversee and maintain knowledge library; develop operational metrics, analyze data, and prepare status reports.
• Address and resolve potential conflicts of interests identified through the personal trading monitoring tool or through the employee disclosure attestation process. Follow-up with employees as needed to resolve potential conflicts of interests.
• Advise on investment restrictions, financial products, and ethics disclosure requirements. Conduct detailed research on financial products and financial arrangements, as needed.
• Build and maintain effective relationships with business area liaisons, technology partners, and stakeholders.
• Stay current with industry best practices for employee personal investment compliance programs.
• Participate in ethics rotation for answering employee questions. Summarize and log ethics matters in internal database.
• Perform other projects related to the Ethics Office as assigned.
  
  
  

Responsibilities

• Be a member of the company's Ethics Office, responsible for ensuring that all employees act with honesty, integrity, impartiality, and respect in all dealings with colleagues and the public.
• Be part of the team responsible for the employee Personal Trading Compliance Program (PTCP).
• Support an initiative that expands the use of the PTCP, including advise on best practices of an employee trade monitoring program; develop and draft policies, procedures, user guides; conduct training; engage with brokers regarding data feeds; oversee and maintain knowledge library; develop operational metrics, analyze data, and prepare status reports.
• Address and resolve potential conflicts of interests identified through the personal trading monitoring tool or through the employee disclosure attestation process. Follow-up with employees as needed to resolve potential conflicts of interests.
• Advise on investment restrictions, financial products, and ethics disclosure requirements. Conduct detailed research on financial products and financial arrangements, as needed.
• Build and maintain effective relationships with business area liaisons, technology partners, and stakeholders.
• Stay current with industry best practices for employee personal investment compliance programs.
• Participate in ethics rotation for answering employee questions. Summarize and log ethics matters in internal database.
• Perform other projects related to the Ethics Office as assigned.
  
  
  

Qualifications

• Relevant work experience in employee personal investment compliance (Client 3110(d) and 3210), or government ethics.
• Substantive knowledge of financial products (ex., stocks, bonds, alternative investments, funds, IRAs, etc.).
• Familiar and comfortable working with and presenting data, prior experience with data visualization tools preferable but not required.
• Prior experience working with an employee trade monitoring and surveillance application (ex. MyComplianceOffice, FIS Employee Compliance Manager).
• Strong ability to identify and analyze issues, draw conclusions, propose solutions, and communicate them orally or in written format.
• Strong customer service skills with the ability to discreetly handle sensitive and confidential information.
• Strong self-management skills. Ability to handle multiple assignments at once and produce results under tight time constraints, both independently and as part of a team.
• Strong ability to manage projects and drive them from start to finish
• High degree of attention to detail and organization.
• Agility in adapting to changing work demands and business developments.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Contract

Job function

• Job function

  Finance and Sales

• Industries

  Staffing and Recruiting

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