Senior Compliance Analyst (Personal Trading and Licensing/Registrations)

About the role

The Senior Compliance Analyst (Personal Trading & Licensing/Registrations) provides U.S.-business-hours coverage, regulatory knowledge, securities-market experience, employee interaction, and first-level compliance judgment for the Firm’s Personal Trading and Licensing & Registrations programs. The role is responsible for managing and resolving employee-specific, time-sensitive, unusual, or higher-risk matters that require substantive compliance review, U.S. securities-market knowledge, regulatory research, policy application, or interaction with employees, managers, brokers, regulators, vendors, and internal stakeholders. The Senior Compliance Analyst reviews and resolves exceptions within delegated authority and escalates complex regulatory interpretations, material violations, significant disclosure matters, policy exceptions, and other higher-risk matters to the Compliance Manager, Chief Compliance Officer, Legal, or other appropriate stakeholders. The role also provides U.S.-based oversight, quality control, guidance, and escalation support for the established, process-driven Personal Trading and Licensing &