PAD Compliance Associate
Making sure accounts are approved, closed, disclosed, review statements,
Attention to detail, quality-minded, multi-task, communication, strong Excel (vLookups, macros, pivots, tracking of schedules)
location: Wilmington, Delaware
job type: Contract
salary: $19 - 20 per hour
work hours: 9 to 5
education: Bachelor's degree
experience: 0 Years
Roles and Responsibilities:
Reviews transactional details for subject employee's personal brokerage accounts in accordance with compliance regulations.
Review and reconciliation of employee pre-cleared transactions vs. account documentation
Implementation of the firm's Approved Broker Electronic Feeds policy.
Review and escalation of PAD Policy Violations to Compliance Advisory partners as applicable.
Implementation of tactical and strategic improvements to Employee Compliance platforms and processes.
Communicate regularly with Compliance Management team and Employees regarding personal account dealing.
Collect, collation and reconciliation of employees documents required for brokerage account disclosures and person al trading activity.
Participate in special assignments and ad hoc requests.
Coordination with external brokers holding employees' personal brokerage accounts.
Once we know you're interested, a Randstad Professionals recruiter will review your resume and contact you to better understand your skills and tell you more about the opportunity. We will meet qualified candidates face to face and our best talent interviews with the employer face to face - we will move quickly!
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