
Portfolio Management Specialist
Há 5 dias
The Investment Associate is responsible for performing supervisory compliance functions in accordance with the firm's written supervisory procedures and applicable FINRA/SEC rules.
- This includes reviewing and monitoring operational processes for adherence to regulatory requirements and internal controls.
- Liaising with the Chief Compliance Officer to ensure appropriate documentation, escalation, and resolution of identified risks or violations.
- Assisting in periodic audits, regulatory exams, and maintenance of compliance records.
Additional responsibilities include reviewing and approving new account paperwork for institutional and HNW clients, including annuity accounts.
- Ensuring all documentation meets regulatory and internal compliance standards.
- Assisting in maintenance of client accounts within portfolio management systems.
- Executing trades based on analyst recommendations or at the direction of advisors/clients.
Prior experience in investment or financial planning operations is required (or relevant industry equivalent).
- A bachelor's degree is strongly preferred.
- FINRA Series 7 and Series 66 (or equivalent) licenses are strongly preferred.
- FINRA Series 24 license (or willingness to obtain) is strongly preferred.
- Full-time employment provides stability and security.
- Finance professionals can advance their careers through professional development opportunities.
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