Job Summary & Responsibilities
As a member of the PWM Compliance team, you will be working closely and providing on-going advice to the PWM business; assist them in analyzing compliance issues applicable to the business, reviewing business opportunities from a compliance perspective and addressing regulatory inquiries and handling client issues.
The successful candidate will be primarily responsible for providing regulatory coverage, and will also be involved in business initiatives and projects. In addition to working with counterparts in other regions, you will be working closely with different federation departments across the firm such as other Compliance functions, Legal, Internal Audit and Operations.
Your responsibilities will include:
• Regulatory tracking of rules impacting PWM
• Address day-to-day questions
• Advise PWM business and federation groups on issues that may arise
• Work with Legal and other Compliance functions on regulatory inquiries and client issues
• Develop, modify relevant policies and procedures in compliance with relevant regulations and firm policies/initiatives to the PWM business
• University degree holder, relevant professional, or industry qualification. J.D. preferred
• At least 5-7 years relevant experience; preferably in compliance/control function. Regulatory/auditing background will also be considered
• Good understanding of the regulatory framework for the private client business, and products
• Strong analytical skills and ability to exercise judgment and manage execution under pressure
• Energetic, attentive to detail and capable of multi-tasking in a fast-paced environment
• Candidates must have excellent interpersonal skills and the ability to work effectively in a team-oriented setting, prioritize projects to meet tight deadlines. The candidate must be able to work independently with limited supervision
• Strong oral and written communication skills.
Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.