Senior Compliance Associate, Securities Control Room
Our client, a leading Financial Services Firm, is seeking an experienced compliance professional to support the development and maintenance of its Securities Control Room. This function will focus on the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.
The candidate will be responsible for administering the Securities Trading Policy and associated procedures, assessing employee securities transactions and holdings for potential conflicts, managing restricted lists, reviewing equity positions and providing assistance on research related matters.
Additional responsibilities for this position:
Requirements:
For immediate consideration, please submit your resume to Kyle Marszalek at **********@peakaudit.com.
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