CW-Compliance Associate in Charlotte, North Carolina
Posted 10/13/22

HE TEAM YOU WILL BE JOINING:

  • Fortune 100 Financial Services Company
  • 100-year history of dedication to customer satisfaction, success, and growth
  • Tremendous growth and new business strategy leading to the need for new talent
  • Significant investments in cutting-edge technology

WHAT THEY OFFER YOU:

  • Culture: Excellent work environment that fosters collaboration
  • Growth: Ability to make an impact on the direction of the organization
  • Opportunity: Gain hands-on experience working with cutting-edge technology
  • Stability: Recent financial performance of the company has reported record profits

WHY THIS ROLE IS IMPORTANT:

    • Maintaining and revising policies and procedures for the general operation of the compliance program and its related activities.
    • Reporting on the results of compliance and ethics initiatives of the business unit.
    • Implementing corrective action plans for resolution of problematic issues and providing general guidance on how to avoid or deal with similar situations in the future.
    • Conducting investigative procedures in response to violations of rules, regulations, policies, and procedures.

THE BACKGROUND THAT FITS

Required Skills:

  • 2+ years of experience required
  • Assist to support and administer the SEC Form PF and Form ADV filing process for registered investment advisers
  • Experience with data entry and review
  • Assemble filing information from business areas throughout the organization and retain supporting documentation
  • Perform periodic investment monitoring reviews, collating metrics, and documents for reporting purposes
  • Employee Type: Contract
  • Location: Charlotte, North Carolina
  • Category: Human Resources
  • Date Posted: 10/13/22
Apply Today!
Apply Today!

Apply Today!

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