Risk Specialist - Associate Level
Core
Manage Commercial Bank's Insider Trading Monitoring Program (ITMP) and Control Room operations, ensuring adherence to regulatory requirements and internal policies.
Role type
Associate-level compliance specialist (insider trading monitoring)
Builds
Operational compliance controls for insider trading prevention
Domain
Financial services / Banking / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Case management, brokerage account trade processing, exception request evaluation, electronic data feed monitoring, account and securities reconciliations, user and system administration, associate onboarding/offboarding guidance, internal process documentation, compliance metrics tracking
Preferred skills
FINRA regulations knowledge, Series 7 or Series 63 License, broker dealer control room experience, personal brokerage account monitoring program experience, stakeholder management
Technologies
G-Suite, Microsoft Office
Responsibilities
Review and process personal brokerage account trade requests and opening approvals; Monitor electronic data feeds and perform routine reconciliations; Facilitate user and system administration and provide training to new monitored associates; Support Global Control Room operations and assist with restricted list management; Track and analyze compliance metrics and update internal process documentation.