Monitor and analyze enterprise-wide equity positions
Maintain daily reports and applications to monitor reportable positions
Determine holdings database data integrity and interface with IT and data management
Document and monitor data exceptions
Gather data to prepare Ad Hoc Non-U.S. Large Shareholder disclosures
Monitor affiliate intra-day trading activity in reportable securities
Monitor and update daily UK and Irish Takeover Panel Disclosure Lists
Conduct analyses on issuer poison pills, regulated industries and state statutes
Develop and maintain various holdings data spreadsheets and present to leadership for internal review
Review holdings on restriction/limited capacity reports
Assist leadership with special projects
Gather data to provide timely and accurate research for escalated exceptions to the OMR manager
Prepare Ad Hoc, Monthly, Quarterly and Annual regulatory disclosures
Maintain an up-to-date foreign regulations and industry rules matrix
Accurate and timely completion of reports, projects and initiatives as required
Compile and distribute required reporting: ad hoc, monthly, quarterly and annual requests

Senior Compliance Officer

Key skills