Job Description

The role will be hybrid (M-W) in the office and Thursday and Friday remote.

*Bilingual in Portuguese is a plus

Key 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. You will have:

• 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. You will be:

• 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.

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