Job Description

Compliance Associate - Personal Account Dealing

Qualifications/Skills Required:

Bachelor degree and up (preferably in finance, economy) Preferred 5 - 10 years of experience working for a financial services firm (bank, broker dealer, asset manager) Understanding of financial markets and terms. Must be detail oriented and organized, and able to work independently. Must be able to multi-task and manage competing deadlines. Strong Word, Excel and PowerPoint experience, excellent typing skills and ability to learn other systems. Good communication skills and the ability to collaborate with staff members. Solid time management skills and the ability to prioritize tasks.

Principal Responsibilities for PA:

Collecting and digitizing data such as financial statements. Research and obtain further information for incomplete documents. Entering employee and account data from source documents within time limits Maintaining a detailed and organized storage system to ensure data entries are complete and accurate. Addressing data inconsistencies by working with team members to locate missing data. Respond to queries for information and reporting any major data errors to manager. * Maintaining a high standard of accuracy and efficiency.