Employee Compliance Analyst

Company: Axelon Services Corporation
Location: Jacksonville
Posted on: July 1, 2025

Job Description:

Bilingual in Portuguese is a plus but not a requirement The role will be hybrid (M-W) in the office and Thursday and Friday remote Perform functions relating to Personal Account Dealing, Code of Ethics, and Employee Compliance Attestations for the Americas region. Review and approve personal employee trading accounts ensuring all requisite documentation is received and maintained. Perform conflict check analysis on employee personal trade requests. Maintain a working knowledge of all Employee Compliance, Related Policies and Key Operating Procedures. Manage and monitor assigned tasks related to late account disclosures, declined accounts, exception requests, and unmatched brokerage accounts. Review the daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm s Trading Policies. Perform research and investigations to identify the reason for potential violations. Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements. Assist in performing user acceptance testing, report post implementation issues and provide feedback on potential system enhancements. Assist with monitoring and reporting on global compliance periodic attestation requests. Escalate and communicate clearly, both in writing and orally, with peers, manager, and employees regarding issues encountered, questions and any violations of policy. Establish and maintain close collaborative working relationships with all department key business partners.

Keywords: Axelon Services Corporation, Palm Coast , Employee Compliance Analyst, Accounting, Auditing , Jacksonville, Florida