Insider Trading Compliance Analyst
Newark, DE 
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Job Description
JOB DESCRIPTION

The Employee Compliance team is responsible for managing compliance risk management programs related to key employee related regulatory risk. The Personal Account Dealing (PAD) Investigations and Violations Processing team is responsible for supporting and leading aspects of the firm's PAD program. The group focuses on ensuring that employees subject to the Firm's Personal Account Dealing Policy comply with its provisions pertaining to personal trading activity. The team is responsible for reviewing instances of both identified and suspected non-compliance with the Policy. The team's goal is to identify improper trade activity to ensure employee compliance with the Policy but also to safeguard the Firm from any improprieties.

The Insider Trading Compliance Analyst will effectively partner with all Lines of Business (LOB) and global/regional Compliance teams, including Internal Audit, Operational Risk and other Control functions. This position requires knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices.

RESPONSIBILITIES

  • Investigate and issue violations in accordance to the firm's violation framework
  • Perform quality reviews of closed cases to ensure documentation has been accurately saved per procedural guidelines
  • Ability to respond to Employee inquiries with professionalism and a high level of accuracy
  • Identify potential concerns and control issues, determine the root cause of issues, and ensure stakeholders develop and implement appropriate corrective actions
  • Work collaboratively with team members across LOBs, staff areas, and participate actively in working groups
  • Execute on key strategic Compliance initiatives within the context of the firm's global compliance mandate
  • Provides business analysis and process improvement support to the Personal Account Dealing management team and staff

QUALIFICATIONS

  • 1-3 years of Securities experience and/or AML Fraud experience
  • Intermediate proficiency w/ Microsoft Excel (e.g. pivot tables, macros, data analytics), PowerPoint, Vision (e.g. process mapping), Outlook
  • Strong verbal, written communication and analytical skills (work might escalate all the way up to C-level)
  • Experience and/or ability to succeed in a deadline-environment
  • College degree or related experience
  • Flexible in work style and be able to work appropriately with stakeholders and colleagues at all levels
  • Ability to manage numerous reviews that are confidential and sensitive in nature with a professional manner in a fast-paced, deadline-driven environment
  • Strong analytical and problem-solving skills with the ability to recommend and make decisions autonomously
  • Ability to thrive in a changing work environment and manage well under pressure
  • Quick learner, team player, results-oriented, self-motivated, flexible approach to work hours
  • Proactive approach to problem-solving, a logical thinker who appropriately challenges the status quo

Digital Intelligence Systems, LLC (DISYS) is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.


Digital Intelligence Systems, LLC. is an Equal Opportunity Employer/Affirmative Action employer. It is our policy to provide equal opportunity to all applicants and to prohibit any discrimination because of race, color, religion, sex, sexual orientation, gender identity, national origin, age, marital status, genetic information, disability or veteran status.

 

Job Summary
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Experience
1 to 3 years
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