What are the responsibilities and job description for the Compliance Officer, Employee Activities position at Madison-Davis, LLC?
Asset management firm, looking to bring on board a “Compliance Officer, Employee Activities” to join their team in Midtown, Manhattan. This firm is operating in a hybrid capacity (4 days in office).
Responsibilities:
- Process personal account disclosure and pre-clearance forms
- Review Gift and Entertainment requests
- Reconcile personal trading data that comes via the electronic feed via our third party vendor
- Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers
- Review employee certification documents on an annual basis and action accordingly
- Answer employee inquiries related to employee activities via the phone hotline and shared mailbox
- Perform Ad hoc reporting and complete projects related to data reconciliation
- Assist in streamlining workflows and document utilizing schematics
- Review employee activity data/metrics and identify trends and patterns
- Review reported outside business activities and private investments and perform conflict checks
- Perform personal trading surveillance to ensure compliance with our personal trading policy.
- Deliver new hire Compliance training to newly onboarded employees.
Salary : $90,000 - $100,000
