- Assist team with the implementation of an effective compliance program identifying and prioritizing compliance and regulatory risk associated with insider trading and information barriers.
- Assist in maintaining the Firms information barriers and conduct surveillance of activities in relation to the Firms Watch and Restricted Lists.
- Assist in performing annual information barrier review of NY office separate areas.
- Perform alert reviews for trade surveillance related to the Controls Rooms personal trading rules through MCO and internal ISC platform, as they relate to market manipulation and insider trading.
- Perform Inside / Confidential Project initiation through the ISC tool to prevent the flow of Inside Information between the different business areas and to allow for better monitoring of personal trade activity.
- Daily review and resolve of MCO business rules (Holding Period, De Minimis - Single Day, De Minimis - Multi Day, IPO, Insider Trading, Trading Frequency, Front Running, Watch List, Restricted List) and additional ISC alerts (Pre-approval).
- Investigate personal trading violations and escalate as needed, including formal written communications to employees, management, and T&C.
- Assist on the investigation and resolution of matters that require additional review and escalate as needed.
- Review and approve personal preclearance requests through the ISC Tool.
- Provide advisory services to business team members concerning their personal trading activities and the Control Rooms personal trading rules.
- Maintain employee brokerage accounts in both MCO and ISC platforms and perform daily reconciliation of employee trades between platforms.
- Assist with the licensing & registration of FINRA Registered Reps.
- FINRA Form U4 filings, including opening exam windows, changing employee addresses, disclosures, etc.
- FINRA Form U5 filings for terminated employees, including physical mailings.
- FINRA Non-Registered Filings & Amendments for non-licensed staff, including fingerprinting requirements.
- Collaboration with T&C and Legal when a U5 needs to be filed with a reasoning for involuntary termination.
- Receive and process FINRA disclosure review letters.
- Order STC FINRA Exam Study Material and track reps studying progress and scores if needed.
- Form BD Amendments and storage of notarized filings.
- Assist with new hire orientation, including CRD Authorization Form, BIG (Business Information Group) Fingerprinting, Outside Business Activity (OBA) Disclosure, Private Securities Transaction Disclosure, etc.
- Assist with annual / ongoing OBA & Private Securities Approvals.
- Develop and administer Compliance training as needed, including annual FINRA Firm Element and Control Room training through RegEd, FINRA Regulatory Element Training, etc.
- Perform annual background checks of all BBVA Securities Inc. (BSI) registered reps through BIG.
- Assist in TPRM & Procurement meetings and Aravo & WorkDay tasks with/for relevant vendors and regulators: MCO, BIG, Securities Training Corp, Knopman Marks, Docupace, RegEd, FINRA, etc.
- Assist in development of policies, procedures, operating instructions, and guidelines, including BSIs adhesion to these.
- Back up to NICE Actimize Trade Surveillance System.
- Bachelors degree in an applicable major field of study required or equivalent relevant experience.
- Good understanding of information barrier regulations and industry standards relevant to the functions of the Control Room as well as FINRA Licensing & Registration Rules.
- Competency in Excel and G Suite (Google Workspace tools including Drive, Docs, Sheets, Forms). Experience with Queries, Lookups and Importrange functions is a plus.
- Project management skills.
- Preferred bilingual Spanish / English.
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Compliance Analyst - New City, United States - BBVA
Description
Compliance Analyst
Job Description
Experience & Skill Requirements
With respect to this position in our New York Office, the expected base salary ranges from $90,000 -$100,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
NOTE: THIS POSTING IS FOR INDICATION OF INTEREST ONLY. PLEASE VISIT THE BBVA CAREERS PAGE FOR MOST UP TO DATE POSTINGS.
