Job Summary & Responsibilities
YOUR IMPACT
Are you looking for an opportunity to play a key role in safeguarding our firm and the Private Wealth Business? Our Client Data Change Management team is seeking a professional who will collaborate with PWM Sales teams, Compliance, and various other Operations teams to enforce regulatory, firm and Anti Money Laundering policies related to client account changes.
HOW YOU WILL FULFILL YOUR POTENTIAL
• Partner with Anti Money Laundering (AML) Compliance to ensure all requirements are met for clients and/or accounts changes and new AML policies and regulations are fully implemented within Global PWM
• Ensure account changes comply with all jurisdictional laws, regulations and firm policies
• Review pending account updates to ensure that proper client authorization is in place and the update is in accordance with regulatory and firm requirements prior to approval
• Review client documents including organizational documents for entities to ensure proper account set up and all required signatures have been obtained
• Apply sound business judgment to identify unusual or suspicious documentation or activity
• Approve accounts for margin and/or options trading
• Continuously implement process changes based on regulatory and Anti Money Laundering policies
SKILLS & EXPERIENCE WE ARE LOOKING FOR
Basic Qualifications
• Bachelor's degree required
• At least 2 years of work experience in Operations or related field
• At least 2 years of work experience in Finance or related field
• Proficiency using the Microsoft Office Suite in particular Excel, PowerPoint and Microsoft Word
Preferred Qualifications
• Paralegal experiences a plus, but not required
• Compliance and/or regulatory experience a plus, not required
• Series 7 and/or 63 a plus, not required
