Compliance Associate
New York, NY US
Job Description
Our client is looking for a Compliance professional to assist its Compliance Team. This candidate will assist a highly collaborative team in the New York office who supports the administration of the firm’s compliance policies as it relates to personal trading and employee activities. The individual must be highly organized and detail oriented.
Essential Job Functions
- Process personal account disclosure and pre-clearance forms
- Review Gift and Entertainment requests
- Reconcile personal trading data that comes via the electronic feed via our third party vendor
- Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers
- Review employee certification documents on an annual basis and action accordingly
- Answer employee inquiries related to employee activities via the phone hotline and shared mailbox
- Perform Ad hoc reporting and complete projects
- Review reported outside business activities and private investments and perform conflict checks
- Perform personal trading surveillance to ensure compliance with our personal trading policy.
Job Requirements
Preferred Qualifications
- Excellent analytical, reasoning, and problem-solving skills.
- Excellent verbal, written and interpersonal communication skills.
- Ability to multi-task, meet deadlines and handle multiple projects/priorities
- Ability to work well independently as well as collaboratively.
- Detail oriented and adaptable
- Motivated with a desire to learn and deliver results
- Prior work experience with Code of Ethics or Compliance is an added advantage
- Knowledge of the Financial Industry
- Possess self-confidence and can interact successfully with all levels of personnel
- Have a strong sense of responsibility and responsiveness
Basic Qualifications
- Bachelor’s/University degree
- 3-5 years working in the financial industry.
- Proficiency in Excel and Microsoft Office Applications