About the role/Scope of work:
- Maintain that employees are adhering to compliance policies and procedures on a periodic basis.
- Periodically review client recommendations and performance.
- Periodically review the email and social media usage of registered
- Periodically review the company trade blotter and clients books and
- Provide Compliance support and guidance on strategic initiatives and regulatory
- Assist with designing and delivery of compliance training to the
- Assist with the review of marketing
- See that annual requirements are delivered upon as outlined by the
- Minimum of 3-5 years of working within the financial services industry, with knowledge and good understanding of SEC rules preferred.
- Knowledge of asset management compliance program related rules and
- Strong analytical and problem-solving
- Highly organized and detail-
- Excellent communication skills (oral and written), with the ability to work on multiple tasks simultaneously.
- Flexible team
- IT skills (MS Excel/MS Word)
- Client Focus – demonstrates clear understanding of importance of effective customer service, internally and externally
- Trust – evidences high standards of integrity and openness
- Teamwork – demonstrates ability to work effectively as a member of a team, a collaborative style, and understands the value of diversity
- “Outperformance” – evidences the ability to exceed expectations of others