In this role, the selected candidate will communicate with our CCO to understand current and new policies and procedures affecting us and our operations; monitor our operations for compliance to our Policies & Procedures and Code of Ethics.
Responsible for standardization and analysis of all Problem Resolution processes/procedures to ensure maximum efficiency, accuracy, and proper
coordination with the different areas of Transportation, Logistics, warehousing and the customer.
In this role, you will be responsible for reviewing transactions on a monthly basis involving electronic wires and check activity. Reviewing to see if negative news or other potential AML concerns with transactions activities exist.
Provide compliance oversight with respect to various mutual fund subadvisers including both initial and ongoing due diligence. Develop thorough knowledge of subadvisers compliance framework and practices.
The ideal candidate will be a team player with experience in a Compliance function for a private fund or financial institution. The individual will have proven his/her ability to perform Compliance responsibilities without significant oversight.