Finance - Asset Wealth Management Compliance - Due ...

Individual within this role will apply due diligence skills while also learning about the changing regulatory landscape. Our client is seeking a professional who can work with internal stakeholders and clients to execute the Third Party Distributor Due Diligence Program. This position requires, a thorough understanding of Global Framework for Due Diligence, client service/on-boarding environment, and knowledge of the industry, our client base, and our systemHOW YOU WILL FULFILL YOUR POTENTIALEnsure due diligence is performed on new and existing Third Party Distributors as well as other Intermediaries.Develop expertise in the Firm's Global Framework.Quarterback the due diligence review with TPD's from start to the signing of an agreement.Coordinate with internal stakeholders during reviews to obtain necessary approvals.Propose and work on special projects as necessary (e.g. automation related projects, new business lines).Partner with the Sales organization to ensure a seamless distributor onboarding from front to back and liaise with multiple parties to bring about execution of an agreement.Other ad hoc responsibilities include but not limited to, red flag reviews, dealer terminations, and report monitoring.PREFERRED QUALIFICATIONSBachelor's DegreeKnowledge of financial markets and productsExcellent written and verbal communication skills, and strong client service orientationProficiency using the Microsoft Office Suite in particular Excel, PowerPoint and Microsoft Word Experience in Client Onboarding/ Customer Identification Program (CIP)/Know Your Customer (KYC) processes a plusUnderstand structure of trading counterpartsSelf-motivated and proactive team player who takes ownership and accountability of projects, and has strong organizational skills to effectively manage competing prioritiesFlexible and able to work well under pressure in a team environmentProven analytical and problem solving skills with meticulous attention to detail to enable the ability to communicate complex items to a wide array of internal counterparties Bachelor's Degree Preferred;2+ Years of Experience Preferred

Created: 2025-03-03