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Code of Ethics Compliance Consultant
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$29 - $33
- The individual will support the Code of Ethics compliance program, including oversight of employee personal trading and outside business activity requirements.
- Complete daily personal trading conflicts of interest reviews and issue compliance violations, as necessaryFacilitate regulatory filings for Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities ActEngage with employees ranging from junior analysts to Managing Directors on any compliance reviews/matters identified.
- Manage employee inquiries regarding personal trading and Code of Ethics requirements.
- Manage personal trading system maintenance (e.g., ensuring personal accounts are added to/ removed from an automated broker feed, monthly data uploads)Contribute to personal trading system's development life cycle (e.g., test system changes to provide business sign-off)Manage quarterly compliance certification launch, follow-up, and violations process.
- Manage firm restricted trading list coding in the personal trading system.
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