Investment Associate

2 semanas atrás

Belém, Pará, Brasil Synerfac Technical Staffing Tempo inteiro
Base pay range

$70,000.00/yr - $90,000.00/yr

Direct message the job poster from Synerfac Technical Staffing

Recruiting Manager | W-2 Employment | Manufacturing & Engineering Key Responsibilities
  • Perform supervisory compliance functions in accordance with the firm"s written supervisory procedures and applicable FINRA/SEC rules.
  • Review and monitor operational processes for adherence to regulatory requirements and internal controls.
  • Liaise with the Chief Compliance Officer to ensure appropriate documentation, escalation, and resolution of identified risks or violations.
  • Assist in periodic audits, regulatory exams, and maintenance of compliance records.
  • Review and approve new account paperwork for institutional and HNW clients, including annuity accounts.
  • Ensure all documentation meets regulatory and internal compliance standards.
  • Assist in maintenance of client accounts within portfolio management systems.
  • Execute trades based on analyst recommendations or at the direction of advisors/clients.
  • Assist in routine client service requests including account access, distributions, and information delivery.
  • Calculate and process annual IRA distributions.
  • Communicate professionally and regularly with clients, custodians, vendors, and internal stakeholders.
  • Complete ad hoc projects and provide operational support as needed.
Qualifications
  • Prior experience in investment or financial planning operations required (or relevant industry equivalent).
  • Bachelor"s degree strongly preferred.
  • FINRA Series 7 and Series 66 (or equivalent) licenses strongly preferred.
  • FINRA Series 24 license (or willingness to obtain) strongly preferred.
Seniority level
  • Associate
Employment type
  • Full-time
Job function
  • Finance
Industries
  • Investment Management

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