www.GetJob.US

USA Jobs Online

No Sign up Required to Post Jobs

Manage a team of four compliance specialists and other contractors, providing direction and managing stakeholder communications. Ensure that the client and its employees conduct business in accordance with federal and state laws and rules and regulations of the Securities and Exchange Commission, the Federal Reserve Bank, the Commodity Futures Trade Commission, FINRA, and other government agencies, self-regulatory organizations, internal policies and industry best practices. Serve as liaison between front office, the Know Your Customer (KYC) and Client Lifecycle Onboarding team, initiating new client onboardings and product extensions, managing the collection of documentation and acting as the Subject Matter Expert (SME) for KYC Policy and Procedure. Act as facilitator for front office new client onboards and product extensions – handling prioritization, ensuring account opening and trade dates are met, document and requirements standard checker and blocker resolution. Blocker resolution go-to-and escalation point for front office and KYC operations for the population and business covered. Provide regular dates surrounding key regulatory changes. Serve as key point for reporting and metrics, ensuring accuracy through reconciliations of various data sources/systems. Develop key operating documentation and training materials. Create and manage Management Information (MI) reporting and metrics to track progress for stakeholders. Regularly liaise with stakeholders to propose solutions and solve issues/queries. Assist in leading regional projects and initiatives. Req. Bachelors (any field) and 2 years’ experience in any position working with financial services compliance. Req. Strong understanding of financial regulations.