An American multinational investment company recognized as the world's largest asset manager with AUM crossing $10 Trillion. Headquartered in New York City, Client has 70 offices in 30 countries and offers services to companies in over 100 countries. Its software keeps track of investment portfolios for many major financial institutions, and its Client's Solutions division provides financial risk management services. Client is ranked 184th on the Fortune 500 list of the largest United States corporations by revenue.
About The Job:
- This role requires a proactive approach to compliance management, robust analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes.
Essential Job Functions:
Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes:
- Reviewing Employee Disclosures:
- Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items.
- This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes.
- Reviewing Post-Trade Exceptions:
- Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards.
- This involves thorough analysis and documentation to ensure compliance with regulatory requirements.
- Reviewing Employee Transactions:
- Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review.