What are the responsibilities and job description for the Insider Trading Compliance Analyst position at Convergenz?
The contractor position will support the Legal & Regulatory Compliance (LRC) with the day-to-day management and oversight of the Insider Trading compliance program; as well as monitor employees’ compliance with Insider Trading Compliance requirements within a vendor system. The contractor will be responsible for developing and maintaining communication and training materials for employees on Insider Trading Compliance requirements and how to use the vendor system software to establish and monitory brokerage accounts and transactions.
Key Job Functions
• Develop communication and training materials including on-line training, user guides, and SharePoint information sites.
• Coordinate with multiple business partners including the vendor, LRC, Legal, People and Places, and Information Technology to prepare and publish employee communication and training materials.
• Monitor employee broker accounts and transactions within the vendor system to ensure compliance with the Insider Trading Policy and related governance documents.
• Prepare monthly and quarterly reports to identify potential risks, trends, and key performance indicators for senior management.
• Identify potential instances of non-compliance with Insider Trading Compliance requirements and escalate to LRC management, Legal, and Ethics/Investigations as required.
• Participate with the team in managing the third-party vendor system to ensure compliance with Insider Trading Compliance requirements including issue identification, escalation and resolution.
Specialized Knowledge and Skills
• Prior experience developing employee communication and training materials.
• Experience within a financial institution or highly regulated environment is preferred.
• Experience with implementing and maintaining an insider trading compliance program is preferred.
• Experience implementing a regulatory compliance software is preferred.
• Able to work collaboratively as a team member.
• Ability to manage projects efficiently, high attention to detail and excellent time management skills.
• Demonstrated strong written and verbal communication skills.
