ABOUT THIS 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 & Registrations workflows performed by the Manila team. The Manila team performs standardized processing, monitoring, reconciliation, tracking, documentation, and reporting activities in accordance with approved procedures; the U.S.-based Senior Compliance Analyst provides subject-matter support and makes the compliance determinations that require professional judgment.

The successful candidate will operate independently, exercise sound judgment, maintain audit-ready documentation, manage confidential information with discretion, and partner effectively with Compliance, Human Resources, Legal, Talent Acquisition, Operations, Technology, employees, managers, and business stakeholders.

Key Responsibilities:

Personal Trading and Employee Compliance

• Provide timely U.S.-business-hours support to employees and managers regarding Personal Trading requirements, brokerage accounts, reportable securities, managed accounts, account disclosures, preclearance, holdings reporting, transaction reporting, certifications, and related obligations.
• Review and respond to time-sensitive trade-preclearance requests so that employees may execute approved transactions while applicable markets are open.
• Review securities transactions and apply Personal Trading requirements based on the underlying security, transaction type, trading activity, holding-period requirements, restricted-list or watch-list implications, preclearance requirements, and other applicable Firm policies and procedures.
• Research securities, issuers, transaction types, and trading issues requiring knowledge of U.S. securities markets and Personal Trading requirements.
• Review potential Personal Trading exceptions, policy violations, late disclosures, restricted-security issues, missing account information, and other higher-risk matters. Document findings, determine appropriate next steps within delegated authority, and escalate material, complex, or unresolved matters to the Compliance Manager or other appropriate stakeholders.
• Respond to employee and manager questions requiring policy application, interpretation, substantive analysis, exception review, or U.S.-hours issue resolution.
• Assist with employee disclosure matters, including Outside Business Activities ("OBAs") and private investments, when employee interaction, research, first-level analysis, or escalation is required.
• Communicate with brokers, broker-dealers, custodians, employees, managers, MyComplianceOffice ("MCO"), and other internal or external parties to resolve Personal Trading issues requiring U.S.-hours contact or substantive review.
• Troubleshoot account feeds, brokerage connections, transaction information, reporting issues, and other Personal Trading matters that cannot be resolved through routine Manila processing.
• Review case files, exception reports, research, and supporting information prepared by the Manila team; provide direction, determine disposition, and ensure appropriate documentation and escalation.
• Provide guidance, quality control, and escalation support to the Manila team for Personal Trading workflows, including MCO queues, account monitoring, transaction-feed reconciliation, certifications, documentation, tracking, and reporting.

Licensing, Registrations, and Examinations

• Serve as the U.S.-hours point of contact for employees and managers regarding licensing, registration, qualification examinations, fingerprinting, continuing education, and licensing-related training requirements.
• Manage employee licensing and registration matters requiring substantive review, U.S.-hours employee interaction, regulatory or vendor contact, research, issue resolution, or escalation.
• Discuss licensing and registration requirements associated with employee roles, new hires, internal transfers, role changes, changes in responsibilities, and employee separations.
• Perform first-level substantive review of licensing requests, registration matters, Forms U4 and U5, disclosures, examination issues, and other employee-specific matters. Identify matters requiring review or determination by the Compliance Manager, Chief Compliance Officer, Legal, or other stakeholders.
• Process, review, and maintain FINRA WebCRD filings, including Forms U4 and U5, amendments, registration transfers, disclosures, terminations, and other registration updates, as assigned and in accordance with established approvals and procedures.
• Coordinate with FINRA, NFA, state regulators, testing vendors, fingerprinting vendors, Human Resources, Talent Acquisition, and other internal or external partners when matters cannot be resolved through established workflows.
• Research licensing and registration questions and apply Firm procedures and established regulatory guidance to routine employee-specific situations. Escalate regulatory interpretation questions, policy exceptions, material disclosures, significant registration issues, and other higher-risk matters as appropriate.
• Review and resolve matters involving incomplete registration submissions, missed deadlines, examination failures, retake periods, registration gaps, potential lapses, late filings, or other licensing deficiencies.
• Provide U.S.-hours oversight and escalation support for licensing and registration workflows processed by the Manila team, including examination-window requests, fingerprinting, routine U4/U5 workflow preparation, registration tracking, reconciliations, documentation, and employee follow-up.
• Maintain an accurate licensing and registration matrix reflecting employee registration status, qualifications, examinations, jurisdictions, deadlines, continuing-education requirements, and required actions.

Continuing Education, Training, Attestations, and Reporting

• Monitor and oversee FINRA continuing education, NFA training requirements, Firm-required licensing training, qualification requirements, and related employee attestations.
• Review and resolve employee-specific exceptions, overdue requirements, extensions, remediation matters, and other issues requiring judgment or escalation.
• Communicate requirements, deadlines, completion status, deficiencies, and next steps to employees, managers, and relevant stakeholders.
• Review recurring Personal Trading and Licensing & Registrations reports, metrics, exception reports, and aging items prepared by the Manila team. Identify trends, deficiencies, process risks, and escalation items.
• Prepare management reporting on Personal Trading activity, preclearance, exceptions, account-reporting status, licensing status, examination progress, continuing education, training completion, upcoming deadlines, and outstanding deficiencies.
• Maintain complete, contemporaneous, version-controlled, and audit-ready records of reviews, approvals, escalations, employee communications, exceptions, remediation, training, and other required program activity.

Data Integrity, Controls, and Recordkeeping

• Review and oversee reconciliations across MCO, FINRA Gateway/WebCRD, NFA ORS, internal systems, Learning Management Systems, employee submissions, brokerage feeds, vendor platforms, and related records.
• Investigate and resolve data discrepancies, incomplete submissions, missing documentation, account-feed issues, workflow exceptions, and other control deficiencies requiring U.S.-based analysis or stakeholder engagement.
• Support internal audits, regulatory examinations, compliance testing, information requests, and remediation efforts related to Personal Trading, employee brokerage accounts, licensing, registration, examinations, continuing education, training, and employee disclosures.
• Ensure documentation supporting substantive reviews, compliance determinations, approvals, exceptions, escalations, and remediation is complete and retained in the designated system of record.

Manila Team Oversight and Workflow Management

• Provide subject-matter guidance, U.S.-hours support, quality control, and escalation support for process-driven Personal Trading and Licensing & Registrations activities performed by the Manila team.
• Review and disposition matters escalated by the Manila team, including employee questions, unusual transactions, potential Personal Trading violations, disclosure issues, incomplete documentation, registration exceptions, regulatory questions, and other matters requiring compliance judgment.
• Ensure procedures, job aids, templates, escalation protocols, handoffs, trackers, and control documentation clearly distinguish between Manila processing responsibilities and U.S.-based compliance-review responsibilities.
• Conduct or support quality-assurance reviews of Manila work product, identify recurring errors or training needs, and implement corrective actions as appropriate.
• Provide training and feedback to Manila personnel on procedures, workflow changes, escalation expectations, documentation standards, and recurring control issues.

Procedures, Systems, and Continuous Improvement

• Draft, maintain, and improve procedures, checklists, training guides, workflow documentation, control documentation, licensing matrices, and escalation protocols for Personal Trading and Licensing & Registrations.
• Identify process risks, control gaps, data-quality issues, manual inefficiencies, and opportunities for automation, reporting improvements, or workflow enhancements. Recommend and implement practical solutions in coordination with Compliance management and relevant stakeholders.
• Serve as a key business user for MCO, FINRA Gateway/WebCRD, NFA ORS, Learning Management Systems, document-management systems, licensing vendors, and workflow tools. Support reporting, user acceptance testing, system enhancements, and issue resolution.
• Use approved technology, automation, templates, and AI tools responsibly to reduce manual effort, support research and analysis, improve documentation, and increase workflow efficiency.

Role Boundary
The Senior Compliance Analyst (Personal Trading & Licensing/Registrations) (U.S.) owns the portions of the programs that require U.S.-business-hours availability, U.S. securities-market knowledge, employee and manager interaction, substantive review, research, policy application, first-level compliance analysis, issue resolution, and escalation.

The Manila team owns standardized, documented, and repeatable operational activities, including routine processing, monitoring, reconciliation, tracking, documentation, reporting, and follow-up under established procedures. Manila personnel may research, prepare, process, reconcile, document, and identify issues, but do not independently make material regulatory, policy, or compliance determinations.

Complex regulatory interpretations, material exceptions, significant violations, policy or WSP determinations, significant disclosure matters, disciplinary decisions, and other higher-risk matters remain with the Compliance Manager, Chief Compliance Officer, Legal, and/or other appropriate stakeholders, as applicable.

Required Qualifications:

• Bachelor's degree or an equivalent combination of professional experience, training, and education.
• 4-7+ years of progressive experience in employee compliance, Personal Trading, broker-dealer licensing and registration, NFA registration support, regulatory administration, securities operations, risk, audit, or another regulated financial-services environment.
• Demonstrated experience supporting or administering an employee Personal Trading program, including employee brokerage accounts, reportable accounts, holdings and transaction reporting, trade preclearance, restricted or watch-list revi