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QA - Quality Control

Compliance-Officer

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Compliance Officer

Details

Country: USA
Location: New York City NY
Total applied: 33
Location:US-NY-New York City

Base Pay:N/A

Commission:
$0.00Employee Type:Full-Time Employee

Industry:Legal

Manages Others:no

Compliance Officer

Position Type: TemporaryJob Description: Financial institution seeks a Compliance Officer to review new account guidelines prior to account inception. Analyze clients, Investment Agreements & Guidelines to ascertain various investment restrictions and place those restrictions into the firm's proprietary compliance database after inception. Responsible for ensuring open guideline breaches are monitored and resolved timely Responsible for documenting error facts, circumstances, and resolution and responsible for reporting to senior management. Review and approve trade reallocations. Process of counterparty approval request. Process of CFRL trade request and maintenance of violations log. Provide monthly/quarterly/annual compliance certifications for separate accounts and sub-advised mutual funds. Provide on-going support to Portfolio Management teams and Operational Risk on client investment guidelines and restrictions. Process all 13g and 13F filing.
REQUIREMENTS
Please see Job Description

- Apply for Compliance Officer

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