Lead Specialist, Personal Trading & Compliance
Location
United States
Posted
40 days ago
Salary
$96.1K - $135.7K / year
Seniority
Senior
Bachelor Degree7 yrs expEnglish
Job Description
• Monitor personal trading and outside brokerage accounts to ensure compliance with the Code of Ethics
• Review employee trades, identify potential violations, and maintain accurate records of findings
• Enhance policies and procedures for trade pre-clearance, disclosures, and employee attestations
• Conduct compliance reviews and surveillance testing, escalating findings and recommending corrective actions
• Research and interpret evolving SEC, FINRA, and state rules to inform policy updates and control enhancements
• Prepare quarterly and annual compliance reports for leadership, committees, and regulators
• Serve as a primary contact during audits and regulatory exams related to personal trading
• Develop and deliver Code of Ethics and compliance training that promotes awareness and accountability
• Identify opportunities to streamline processes and strengthen monitoring workflows
• Partner with technology and Compliance Operations teams to design and deploy dashboards and automated workflows using sound governance and documentation
Job Requirements
- 7+ years of experience with compliance requirements under the Advisers Act, Investment Company Act, and FINRA/MSRB rules
- FINRA Series 65 license (or ability to obtain within required timelines). FINRA fingerprinting required
- Bachelor’s degree or equivalent experience (law degree preferred)
- Hands-on experience with personal trading and Code of Ethics oversight, including use of systems like StarCompliance
- Strong analytical and investigative skills with close attention to detail
- Excellent communication, collaboration, and judgment skills
- Ability to manage multiple priorities in a fast-paced, evolving environment
- High ethical standards and discretion handling confidential information
Benefits
- Medical, dental, vision and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%)
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
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