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Overview

Company

Original Job Post

Lord, Abbett & Co. LLC · 3 days ago

Compliance Analyst

Jersey City, NJ

Full-time

Onsite

Mid Level

$90K/yr - $110K/yr

3+ years exp

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Responsibilities

Serve as the day-to-day Compliance contact for employee personal trading activities.

Pre-clear employee personal trades.

Work with applicable broker-dealers to establish electronic data feeds of employee personal trading activity.

Initiate and deliver Rule 3210 letters.

Perform daily data validation.

Conduct post-trade surveillance activities.

Address violations and potential violations of the firm’s Personal Trading Policy.

Manage the quarterly and annual certification process.

Assist with new hire training.

Respond to ad hoc questions regarding employee personal trading.

Review employee outside business activity and political contribution requests.

Assist with the execution of user acceptance testing in the implementation of personal trading system upgrades.

Assist with the review of gift and entertainment requests.

Execute ad hoc projects/initiatives that may arise.

Assist with the preparation of regulatory filings.

Qualification

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Financial Services CompliancePersonal TradingEmployee ActivitiesProject ManagementProblem-SolvingHard Working CommunicationInterpersonal Skills

Required

A Bachelor’s degree in finance, business or a related field.

Three to five years of experience in financial services Compliance. Experience focused on personal trading/employee activities is a plus.

The ability to conduct your job with the utmost discretion.

Strong attention to detail.

Excellent communication and interpersonal skills.

Ability to manage your time; will be handling multiple projects simultaneously

Benefits

Competitive total compensation

Retirement plans

Competitive health and well-being plans

Company

Lord, Abbett & Co. LLC

Glassdoor

3.5

Our Vision We aspire to be the most respected asset manager in the world, admired for our people, our performance, our relationships, and our organizational agility.

Founded in 1929

New Jersey, Saint Patrick, TTO

501-1,000 employees