Code of Ethics Monitoring Analyst

Summary

This role processes and reviews personal trading, gifts and entertainment, political contribution, social media and outside-business-activity disclosures against firm policy, escalating any breaches or ambiguous items to an onshore reviewer.Key ResponsibilitiesProcess and review personal account dealing pre-clearance requests, gifts and entertainment disclosures, political contributions, social media, and outside-business-activity requests against defined policies and thresholdsMatch disclosures against restricted/watch lists and policy thresholds; elevate any breaches or ambiguous items to an onshore senior reviewer.Maintain accurate, timely records of review outcomes within the assigned compliance platform.Operate within a structured daily queue, meeting agreed turnaround times.Minimum RequirementPrior hands-on experience with a code-of-ethics / personal account dealing platform (e.g., StarCompliance, MyComplianceOffice, ComplySci, or equivalent).Written and reading English proficiency at CEFR C1 or equivalent.No personal trading, outside business activity, or gift/entertainment conflicts with the client or its clients.Willingness to complete a background check (criminal, credit, sanctions/PEP screen) and sign a confidentiality and data-handling agreement.Willingness to work within a controlled physical environment: no printing, screenshotting, or recording of in-scope data; clean-desk policy; no personal devices (phones/cameras) at the workstation.Available for a minimum daily overlap of 4 hours with US and/or UK business hours.#J-18808-Ljbffr

Job Description

This role processes and reviews personal trading, gifts and entertainment, political contribution, social media and outside-business-activity disclosures against firm policy, escalating any breaches or ambiguous items to an onshore reviewer.Key ResponsibilitiesProcess and review personal account dealing pre-clearance requests, gifts and entertainment disclosures, political contributions, social media, and outside-business-activity requests against defined policies and thresholdsMatch disclosures against restricted/watch lists and policy thresholds; elevate any breaches or ambiguous items to an onshore senior reviewer.Maintain accurate, timely records of review outcomes within the assigned compliance platform.Operate within a structured daily queue, meeting agreed turnaround times.Minimum RequirementPrior hands-on experience with a code-of-ethics / personal account dealing platform (e.g., StarCompliance, MyComplianceOffice, ComplySci, or equivalent).Written and reading English proficiency at CEFR C1 or equivalent.No personal trading, outside business activity, or gift/entertainment conflicts with the client or its clients.Willingness to complete a background check (criminal, credit, sanctions/PEP screen) and sign a confidentiality and data-handling agreement.Willingness to work within a controlled physical environment: no printing, screenshotting, or recording of in-scope data; clean-desk policy; no personal devices (phones/cameras) at the workstation.Available for a minimum daily overlap of 4 hours with US and/or UK business hours.#J-18808-Ljbffr