Overview
Compliance Surveillance Associate Jobs in Los Angeles, California, USA at The TCW Group, Inc.
The Compliance Surveillance Associate will report to the Senior Compliance Officer of the Code of Ethics. The Associate will be responsible for assisting with the day-to-day tasks related to the current compliance program oversight for all control room efforts, and monitoring the handling of material non-public information, information barriers, trade surveillance, political contributions, and gifts & entertainment at the firm. The Associate will support the Compliance team in conducting surveillance reviews of information barriers, trading by the firm and employees, and other employee activities involving political activity, and gifts & entertainment.
They will also collaborate closely with business groups across the firm, including Investment Compliance, Legal, and the front office investment teams to monitor compliance risk behaviors. The ideal candidate must have experience with financial markets, financial products (i.e., stocks, bonds, derivatives, etc.), and core Control Room functions, including information barrier/insider trading processes, and trade surveillance.
Essential Duties
Perform day-to-day surveillance responsibilities, including monitoring of information barriers, market abuse trade surveillance, and participating as a chaperone in calls and meetings.
Conduct reviews related to potential material non-public information and communications between investment personnel on each side.
Evaluate and process personal trading and private information requests escalated concerning the firm’s restricted list.
Review compliance systems and employee activity for violations of the firm’s trading policies and Code of Ethics, especially related to political activity and gifts & entertainment.
Support maintenance of control room functions (e.g., the firm’s restricted trading lists, wall crossings, documentation of related surveillance functions).
Assist with regulatory examinations and audits.
Maintain current knowledge of regulatory changes and update policies and procedures as needed.
Liaise with in-house and external counsel to assess risks related to the firm’s business practices and report control issues.
Support and assist with special projects and ad hoc requests for various team initiatives.
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Title: Compliance Surveillance Associate
Company: The TCW Group, Inc.
Location: Los Angeles, California, USA
Category: Finance & Banking (Regulatory Compliance Specialist), Law/Legal (Regulatory Compliance Specialist)
