A global financial institution is seeking an experienced Specialist to join its Compliance team. This position plays a key role in upholding the firm’s information barrier policies and trade surveillance practices to ensure compliance with regulatory standards and internal policies.
***This is a Hybrid opportunity requiring the qualified professional to work at least 3 days a week onsite.***

Responsibilities:
- Implement and maintain an effective compliance program focused on insider trading and information barriers
- Monitor and manage Watch and Restricted Lists; conduct surveillance activities
- Perform periodic reviews of information barriers across the NY office
- Review alerts related to trade surveillance via MCO and ISC platforms
- Initiate and manage Inside/Confidential Projects using internal tools
- Investigate personal trading violations and manage preclearance requests
- Provide compliance advisory services on personal trading and employee brokerage accounts
- Conduct new hire compliance orientations
- Support Outside Business Activities (OBA) and private securities approval processes
- Assist with training development, procurement meetings, and compliance documentation
Qualifications:
- 3+ years of relevant work experience
- Bachelor’s Degree
- Solid understanding of Information Barrier regulations and Control Room standards
- Familiarity with FINRA licensing and registration rules
- Strong skills in Excel and Google Workspace
- Experience with MCO and ISC platforms for trade and personal trading surveillance
- Project management capabilities
Desired Skills:
- Master’s Degree
- Bilingual (English and Spanish)
- SIE and Series 7
- Experience in a Financial Services Compliance role
- Experience with Queries, Lookups, and ImportRange
