Compliance Specialist
- Ref:
311506
- Type:
Direct Hire
- Location:
New York, NY
- Industry:
Financial Services
- Job Level:
Experienced Non-Manager
- Pay:
$0.00 - $0.00
Opportunity Description
The candidate will have responsibilities and support activities across compliance, client service and operations. Compliance responsibilities include SEC compliance-related tasks, including preparing regulatory filings, performing internal compliance testing against the firm's policies and procedures, monitoring client accounts, and contributing to the firm's strong culture of compliance. Client service duties comprise involvement with account opening and account maintenance processes. The candidate will answer clients’ phone calls and organize and prepare client correspondence. Performance of these tasks will lead to an understanding of the firm’s investment process and dedication to professional, personal service.
Company Information
Financial Services-High Wealth Individuals
Job Duties
Candidates must demonstrate professionalism, a sense of urgency, strong attention to detail, effective communication, and clear analytical and writing skills. They must be able to work independently, be willing to help other members of the Client Service Team and work in support of the firm’s Partners.
Education
Bachelor's degree required
Experience & Skills Required
- 1-3 years relative experience in financial services, (family office preferred), banking or legal industry
- Must be able to provide a writing sample
- Must be comfortable working with numbers
Other Information
INDNJ #ZRNJPA