Chief Investment Operations Specialist

Há 20 horas

Belém, Pará, Brasil beBeeCompliance Tempo inteiro US$70.000 - US$127.103

Job Title:

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Investment Associate.

">Job Description:">
  • Oversee regulatory compliance by following the firm’s written procedures and adhering to FINRA/SEC rules.
  • Monitor operational processes to ensure adherence to regulatory requirements and internal controls.
  • Collaborate 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 high-net-worth clients, including annuity accounts.
  • Evaluate all documentation to ensure it meets regulatory and internal compliance standards.
  • Support the maintenance of client accounts within portfolio management systems.
    • 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.
    ">

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