Compliance Associate - Personal Account Dealing

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.
  
  

• 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.