Sr Associate, Trading Compliance - Major Ratings Organization

Reporting to the Head of Compliance Monitoring and Reporting, this individual will:

Exercise responsibility for day-to-day oversight of employee Securities Trading Policy

Develop and review appropriate compliance and management monitoring reports relevant to the Securities Trading Policy

Provide routine guidance to managers and employees regarding their responsibilities under the Securities Trading Policy; elevate non-routine inquiries to appropriate staff within Compliance, Legal or other departments, as appropriate

Provide training for new hires concerning their responsibilities under the Securities Trading Policy; co-ordinate with the Human Resources Department to ensure that new hires receive necessary documentation and that completed forms are provided in a timely manner

Perform other compliance tasks as directed
REQUIREMENTS
3 years experience in compliance-related field with experience in employee securities trading compliance and policy

Proficient in the development and implementation of day-to-day monitoring processes related to employee trading

Effective verbal and written communications skills, including active listening skills and the ability to present findings and recommendations in a clear and concise manner



Qualified candidates are invited to forward their resume in confidence to:

Gene Starr, E. D. Starr & Company
40 Exchange Place, New York, NY 10005
(212) 248-1692
E-Mail: gene.starr @ edstarr. com