Our client is looking for a Compliance professional to assist its Compliance Team. This candidate will assist a highly collaborative team in the New York office who supports the administration of the firm's compliance policies as it relates to personal trading and employee activities. The individual must be highly organized and detail oriented.
Essential Job Functions:- Process personal account disclosure and pre-clearance forms
- Review Gift and Entertainment requests
- Reconcile personal trading data that comes via the electronic feed via our third party vendor
- Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers
- Review employee certification documents on an annual basis and action accordingly
- Answer employee inquiries related to employee activities via the phone hotline and shared mailbox
- Perform Ad hoc reporting and complete projects
- Review reported outside business activities and private investments and perform conflict checks
Perform personal trading surveillance to ensure compliance with our personal trading policy.
Our Commitment to Fair Hiring:
HireQuest does not discriminate on the basis of Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or other legally protected group status in making hiring or employment decisions.
We welcome candidates from all backgrounds, industries, and abilities to join our team. HireQuest is a global workforce solutions provider offering everything from on-demand staffing to executive recruiting through our core brands: HireQuest Direct, MRINetwork, Snelling, and TradeCorp. Recognized by SIA as one of the "Largest Staffing Firms" and "Fastest Growing Staffing Firms," we take pride in building inclusive teams. To ensure every applicant has a positive experience, our hiring and interview process is designed to meet diverse needs. If you require a reasonable accommodation during your application or interview, please contact [email protected].
