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PENNINGTON, NJ 08534
Experienced Compliance Professional Needed ASAP
Experienced Compliance Professional needed for large financial client near Trenton, NJ. Duties include, performing functions related to ensuring that accounts are maintained within certain investment guidelines as well as researching and resolving related issues. Requires a minimum of 5 years experience in the brokerage industry, with good working knowledge of securities and the features of a variety of investments (e.g., mutual funds, equities, structured notes, fixed income secutities etc.) Prior experience within an area responsible for compliance, oversight or control is a plus. Excellent verbal and written communications skills are a requirement in order to interface with Branch Office Management teams regarding the status of accounts in relation to their compliance with investment guidelines and to prepare accurate/concise reports, as well as to conduct meetings and respond to inquiries.
Working hours: 9am-5pm, overtime hours required
Extensive Excel skills are required in order to conduct account reviews and prepare weekly reports. Relies on experience and judgment to plan and accomplish goals. Works under general supervision; reports to a supervisor or manager.
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