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Form of workJob Description
An independent wealth management company is looking for a Contract Compliance Specialist to support their team for a 3-month project!
Role Details:
Role Details:
- 3-month contract; possibly extend to 6 months
- Remote!– EST time zone
- $25.00-$27.00/hr
- Uploading statements
- Reviewing brokerage account statements
- Following up with employees to provide missing statements
- Entering transactions in personal trading system as needed
- Contacting brokers to end mailing of duplicate hard copy statements
- Assisting with resolving transaction errors in personal trading system
- Ensuring accounts are added to an electronic feed
- Tracking new hire certs
- Adding/deleting accounts from feeds
- Completing forms review in PTA
- Ad hoc projects as needed
- Prior experience with Code of Ethics/Personal Securities Trading Surveillance; preferred
- Knowledge of FIS Global Protegent PTA
- 1-2 years of experience in a financial services role, ideally with a large bank or asset management company
