Experis is currently seeking a Compliance Specialist to support one of our Fortune 500 Financial Services clients in Newark, DE. Our client is a leader in the financial services sector, with assets in the trillions and a history dating back over 200 years
Reviews transactional details for subject employees personal brokerage accounts in accordance with compliance regulations.
Review and reconciliation of employee pre-cleared transactions vs. account documentation
Implementation of the firm's Approved Broker Electronic Feeds policy.
Review and escalation of PAD Policy Violations to Compliance Advisory partners as applicable.
Implementation of tactical and strategic improvements to Employee Compliance platforms and processes.
Communicate regularly with Compliance Management team and Employees regarding personal account dealing.
Collect, collation and reconciliation of employees documents required for brokerage account disclosures and person al trading activity.
Participate in special assignments and ad hoc requests.
Coordination with external brokers holding employees' personal brokerage accounts.
Experis is an Equal Opportunity Employer (EOE/AA)