Employee Conduct Analyst

Employee Conduct Analyst

Job summary:

As a Personal Account Dealing (PAD) Operations Analyst within Compliance Processing, you will support a cross-product, cross-functional operating model spanning lines of business, Compliance, and Technology. You’ll help ensure employees comply with the firm’s PAD Policy by monitoring personal account declarations, reconciling personal trade activity, investigating exceptions, and escalating issues as appropriate. You will partner closely with regional and line-of-business Compliance teams and respond to employee queries globally, while maintaining strong operational discipline across quality, timeliness, and control requirements.

Job responsibilities:

• Conversing with employees based on the accounts disclosed by employees to have right documentation.
• Review the provided documentation and make appropriate decision.
• Reconcile employee personal trades in a timely manner, including statement review, employee record validation, and identification/reporting of potential breaches
• Review and manage more complex trading activity and support escalation cases in line with defined procedures
• Respond to employee queries globally regarding PAD Policy requirements and process expectations
• Ensure throughput and quality targets are consistently met, including performing (and supporting) supervisory checks and review routines
• Conduct surveillance-related analysis to identify trends, exceptions, and control gaps, document outcomes and support continuous improvement
• Partner with Regional and LOB Compliance teams to maintain accurate tracking of employee PAD data and activity
• Maintain strong documentation, data hygiene, and audit-ready records in accordance with applicable controls and standards

Required qualifications, capabilities, and skills:

• Qualified graduate with minimum of 3 years relevant experience in Personal Account Dealing (PAD), Employee Compliance and Risk.
• Strong understanding of control environments, policy adherence, and escalation discipline
• Working knowledge of financial markets and products, with the ability to assess trading activity against policy expectations
• Strong written and verbal communication skills, including the ability to explain policy/process clearly and professionally
• Detail-oriented with strong data organization and maintenance skills
• Ability to work independently and collaboratively in a team environment
• Proficiency in Microsoft Office, particularly Excel
• Strong execution skills with the ability to deliver results and meet deadlines under pressure
• Client-centric mindset—able to partner with employees and stakeholders while maintaining compliance and control rigor

Preferred qualifications, capabilities, and skills:

• Experience handling complex exception management and investigations in an employee compliance or surveillance context
• Demonstrated ability to perform trend/variance analysis and translate findings into operational actions or process improvements
• Prior experience supporting Employee compliance operations, supervisory reviews, quality checks, or KPI/throughput management in an operations setting
• Comfort working in a global, cross-functional model (Compliance, Technology, and Lines of Business) with multiple stakeholders
• Strong judgment and escalation instincts when identifying potential policy breaches or control concerns

Experience Level

Mid Level