Compliance Associate
Snelling Staffing Services
Compliance Professional
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.
Vacancy posted 3 days ago
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