Regulatory Compliance Associate
5 days ago
About Our Roles in Private Wealth Management Operations
We partner with all parts of the Firm to deliver exceptional service and support to our clients.
PWM Operations is instrumental in meeting our clients' needs by providing customized advice and services.
Key ResponsibilitiesThe PWM COB Team plays a key role in safeguarding the firm by performing the following functions:
- Understanding client account structures and legal documentation required for new accounts.
- Reviewing accuracy and completeness of account documentation and ensuring all required signatures are obtained.
- Ensuring organizational documents are obtained in accordance with firm policy and regulatory requirements.
- Performing data input into the system for proper account setup.
- Ensuring suitability review has been completed.
- Identifying red flags at the client onboarding stage.
- Partnering with AML Compliance to ensure new policies and regulations are fully implemented within Global PWM.
Qualifications: 3+ years of financial industry experience in AML or other Client Onboarding Regulatory experience. Highly motivated and results-oriented individual with a strong understanding of risk and control framework in operations.
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