Posted:1 week ago|
Platform:
Work from Office
Full Time
1. Put employee accounts on broker feeds. This will require reading the ComplySci disclosure of new account and then consulting our spreadsheet of instructions for each broker and carefully executing instructions. Particular care must be taken with emailing employees personal data outside the firm. Follow up with broker until account is feeding on our system.
2. Provide employees with standard letters giving brokers permission to keep employee accounts at their firm. These are known as 3210 letters.
3. Assist Compliance VP with reviewing Communications items generated by the system and implementing comments and fixes. Examples include:
a. Matching trades to preclearance requests after execution
4. Later, with training and experience, move into:
a. Create new custom certifications in ComplySci at direction of Dan Sousa
b. Evaluate employees routine trade requests
1. Each Monday, synch weekly hires with ComplySci. Ensure that employees have actually been added to system. Communicate with firm for employees that are not added as they should.
2. Synch off-cycle hires as requested by human resources
3. Send new hire email to new employees explaining required Compliance tasks
4. Schedule weekly new hire trainings
5. Make digital folder in Compliances files for every new employee
6. Review every departing employee for Termination Employees checklist. Request email review for each from PJ Kaur.
7. With training,
a. review employee pre-hire forms. Review every OBA and political contribution listed with PJ or Laurie and then approve with HR.
b. review employee background checks and background checks Review every issue found with PJ or Laure
c. Clear the employee with HR if both the pre-hire and the background checks are clear.
8. Later, with training and experience, evaluate every new employee to assess if each is a Covered Associate or Knowledgeable employee. Confirm status with Laurie Campbell. Then enter that status into Workday.
Cognizant
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