Senior Compliance Analyst

Position Responsibilities

• Overseeing day-to-day operations: Provide day-to-day compliance support, address inquiries related to the Code of Ethics.
• Conduct and oversee compliance monitoring activities across assigned areas of responsibility.
• Assist in performing comprehensive second line of defense reviews in accordance with the Compliance monitoring and testing program.
• Communicate findings and recommendations to Compliance leadership.
• Coordinate with internal stakeholders to obtain relevant information necessary for analysis.
• Maintain clear and well‑documented records of reviews and conclusions.
• Evaluate compliance processes to identify inefficiencies, gaps, and opportunities for automation or simplification.
• Support ongoing enhancement of personal trading controls and monitoring processes.

Projects & Initiatives

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