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Employee Compliance Associate

Company: Madison-Davis, LLC
Location: Jersey City
Posted on: November 22, 2022

Job Description:

Office Status: Hybrid
Responsibilities:


  • Ongoing enforcement of the Firm's Watch/Restricted Lists; specifically, their application and integration within the Policy's trading rules.

  • Performing the on- and off-boarding of employee accounts, including establishing broker feeds, periodic certifications, and reporting/analysis of trading activity via the trade surveillance system.

  • Assisting in transactional and forensic testing to ensure compliance with relevant policies and procedures.

  • Compilation and reporting of performance and risk metrics related to Personal Account Dealing.

  • Support and development, delivery and tracking of requisite certifications.

  • Assisting with the establishment and enhancement of relevant policies and procedures.

Keywords: Madison-Davis, LLC, Jersey City , Employee Compliance Associate, Other , Jersey City, New Jersey

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