Risk Analyst - Personal Trading Compliance Program

SOFT Inc.; New York (NY); On-site; USD 80,000 - 120,000; Full time

Job summary

A leading company in New York is seeking a Risk Analyst for the Personal Trading Compliance Program. The role involves ensuring compliance with personal trading regulations, supporting training initiatives, and building effective relationships across business units. Ideal candidates should possess strong analytical skills and familiarity with financial products, alongside a commitment to ethics and integrity.

Qualifications

• Relevant work experience in employee personal investment compliance.
• Substantive knowledge of financial products.
• Prior experience working with trade monitoring applications.

Responsibilities

• Ensure employees act with integrity in all dealings.
• Support the Personal Trading Compliance Program.
• Advise on investment restrictions and conduct detailed research.

Skills

Data analysis

Project management

Customer service

Attention to detail

Confidential information handling

Job description

PLEASE NOTE: WE ARE NOT ACCEPTING ANY 3RD PARTY SOLICITATIONS. ANY SUCH INQUIRIES WILL NOT BE CONSIDERED OR RECEIVE A RESPONSE. WE CAN ONLY WORK WITH DIRECT APPLICANTS WHO ARE AUTHORIZED TO WORK IN THE US WITHOUT SPONSORSHIP. THIS IS AN ON-SITE ROLE FOR LOCAL CANDIDATES ONLY.

SOFT's client located in New York, NY ( Hybrid ) is looking for a Risk Analyst - Personal Trading Compliance Program for a long term contract assignment.

Qualifications:

• Relevant work experience in employee personal investment compliance (FINRA 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.

Responsibilities:

• Be a member of the client'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.