Job
Description
Knowledge of FINRA, SEC, and other relevant US rules and regulations. Processes related to US Broker-Dealers or Registered Investment Advisors. E-mail surveillance and annuities supervision Monitoring of outside business affiliations, registrations, and review of marketing materials. Reporting and Documentation Regulatory compliance Wealth and asset management Risk Assessment KEY ROLES & RESPONSIBILTIES You will be playing a critical role in supporting our clients in ensuring compliance with laws and regulations aimed at preventing money laundering and terrorist financing. Ensures that every case is investigated with a very high focus on quality. Responsible for quality check, assisting the manager and ensuring smooth delivery of work. JOB COMPETENCY Educational Qualification Strong academic background, including a master s degree in finance, Economics, Accounting, Commerce, or a related field Knowledge/Skills & Attributes Knowledge of FINRA, SEC, and other relevant US rules and regulations. Understand principles and processes related to the governance and oversight of operations for US Broker-Dealers or Registered Investment Advisors. Assist clients in operations related to supervisory functions, including but not limited to e-mail surveillance, annuities supervision, monitoring of outside business affiliations, registrations, and review of marketing materials. Aid in the training and development of team members on regulatory requirements, product knowledge, and advisory best practices. Engage with internal and external stakeholders to ensure a cohesive approach to wealth management solutions. In-depth knowledge in AML compliance performing Sanctions screening, payment screening, correspondent banking and regulatory reporting. High level of attention to detail and accuracy in reviewing data and completing tasks. Good communication skills, including responsiveness and commitment to quality are one of your strong sides. Must be a strong team player who has a good understanding of prioritizing tasks in a fast-paced environment. Will be able to work to tight deadlines and manage own workflow/priorities accordingly. Proactive, with a focus on continuous learning and staying up to date with the latest compliance and sanctions-related developments. PC Proficiency, including MS Office applications. Work Experience 4-7 years of relevant experience in the wealth and asset management sector, specifically with broker-dealers or registered investment advisors. Certification Requirements Professional certification (CAMS, CFE, ICA, CCI or equivalent) will be a good addition.
