Approve or deny employee trades based on Black-out or Restricted Lists.
Maintain Compliance Black-out and Restricted Lists.
Monitor employee trading for compliance rules: ensure trades are pre-cleared, 30 day holding period, front running, trading vs. compliance lists, fund vs. merchant trading and others. Reporting non-compliance to management.
Maintain and populate databases with information (Compliance lists, employee account information, trading data and other employee data (directorships, outside employment and professional affiliations).
Answer employee pre-trade questions.
Assist in updating Compliance Manuals and Policies and Procedures.
Assist in preparing and presenting training to employees.
Perform surveillance on the energy merchant business.
Create adhoc Compliance Reports
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