10 дней назад
Compliance Program Specialist Personal Securities Trading and Information Barrier Programs
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance Program Specialist Personal Securities Trading and Information Barrier Programs (Compliance/Risk): Supporting Control Room activities by reviewing employee securities trading, monitoring restricted and watch lists, administering information barrier controls, and preparing compliance reports with an accent on regulatory risk assessment, surveillance, and internal controls. Focus on analyzing sensitive activity, identifying and escalating compliance risks, researching regulatory requirements, and coordinating monitoring programs.
Location: In-office in Pittsburgh, Pennsylvania, United States
Company
is a financial services company with a Corporate Governance organization focused on compliance, risk management, and regulatory controls.
What you will do
- Support Control Room activities related to Personal Securities Trading and Information Barrier programs.
- Review employee securities trading activity and monitor restricted and watch lists.
- Administer information barrier controls and conduct compliance surveillance and monitoring.
- Gather and analyze data to identify, assess, and escalate regulatory and reputational risks.
- Research laws, rules, and regulatory requirements and help maintain compliance manuals, policies, and procedures.
- Prepare compliance reports, identify issues, and support reporting improvements through governance channels.
Requirements
- University or college degree, typically a bachelor's degree, or a comparable combination of education and experience.
- At least 2 years of relevant professional experience.
- Knowledge of compliance reporting, regulatory requirements, risk assessments, and risk controls.
- Accuracy, attention to detail, sound judgment, problem-solving, and ability to manage sensitive and confidential information.
- Knowledge of internal controls, auditing, fraud management, and anti-money laundering and sanctions policies and procedures.
- Ability to work in the Pittsburgh office; will not provide employment visa sponsorship or participate in STEM OPT.
Culture & Benefits
- Inclusive, supportive workplace focused on customer service and enterprise risk management.
- Medical, prescription, dental, and vision coverage, with a Health Savings Account option.
- 401(k) matching, pension, stock purchase plans, life insurance, and disability protection.
- Educational assistance, wellness programs, dependent care support, and family-related reimbursements.
- Paid holidays, occasional absence days, parental leave, and 15 to 25 vacation days depending on career level and years of service.
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