Employee Compliance Analyst Position Available In Duval, Florida

Employee Compliance Analyst

Job Number:

25-04443 Help drive change! ECLARO is looking for an Employee Compliance Analyst for our client in Jacksonville FL. ECLARO’s client is a leading global bank stimulating change and innovation in the industry by offering top-notch financial products and services for a wide-range of clients worldwide. If you’re up to the challenge then take a chance at this rewarding opportunity!

Responsibilities:

Perform functions relating to Personal Account Dealing Code of Ethics and Employee Compliance Attestations for the Americas region.
Review and approve personal employee trading accounts ensuring all requisite documentation is received and maintained.
Perform conflict check analysis on employee personal trade requests.
Maintain a working knowledge of all Employee Compliance Related Policies and Key Operating Procedures.
Manage and monitor assigned tasks related to late account disclosures declined accounts exception requests and unmatched brokerage accounts.
Review the daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm’s Trading Policies.
Perform research and investigations to identify the reason for potential violations.
Document research results and escalate violations and / or suspicious activity according to firm policy and regulatory requirements.
Assist in performing user acceptance testing report post implementation issues and provide feedback on potential system enhancements.
Assist with monitoring and reporting on global compliance periodic attestation requests.
Escalate and communicate clearly both in writing and orally with peers manager and employees regarding issues encountered questions and any violations of policy.
Establish and maintain close collaborative working relationships with all department key business partners.

Qualifications:

Minimum of a Bachelor’s Degree or equivalent work experience.
Strong interpersonal and communication skills including ability to communicate professionally and effectively while using discretion with sensitive and confidential data across all mediums with staff at all levels.
An interest in financial markets and a willingness to learn.
Ability to identify escalate and communicate issues to management in an effective and succinct manner.
Ability to multi-task on several different assignments / projects meet deadlines and perform well under pressure.
Capable of exercising sound judgement and good decision-making in managing risk.
Organized and able to multi-task and appropriately prioritize deliverables.
Skilled with MS Excel and PowerPoint skills (pivot tables experience with large data sets proficient in data manipulation and presentation).
Forward thinking and self-driven with the ability to see opportunities in challenges.
A strong team player able to work effectively under pressure and to meet tight deadlines.
Able to share information knowledge and expertise with team members and stakeholders in varying teams and across the hierarchy.
Demonstrating integrity trust and fairness in all that you do.

Pay Rate:

$35 / Hour If hired you will enjoy the following

ECLARO Benefits:

401k Retirement Savings Plan administered by Merrill Lynch
Commuter Check Pretax Commuter Benefits
Eligibility to purchase Medical Dental & Vision Insurance through ECLARO If interested you may contact:
Tony Viterbo
anthony.viterbo@eclaro.com
646-357-1241
Tony Viterbo |

LinkedIn Equal Opportunity Employer:

ECLARO values diversity and does not discriminate based on Race Color Religion Sex Sexual Orientation National Origin Age Genetic Information Disability Protected Veteran Status or any other legally protected group status in compliance with all applicable laws.