ETF Compliance Associate - Fintech
Location New York, NY, USA
Consultant Thomas Byrne
JobRef 120002/0012019-07-25 2019-09-23 financial-services permanent US New York New York USD 70000 100000 100000 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
We've partnered with a growing fintech who are looking for a compliance associate to join their team.
Our client is a growing fintech looking for a talented compliance associate to work closely with their CCO across a range of projects and responsibilities.
What you'll be doing:
- Identifies and provides suggestions as to business process improvement initiatives. Ensures team consistently follows set procedures and guidelines to achieve a compliant operating environment.
- Ensure daily ETF deliverables are accurate and with internal and external SLAs. Investigate and resolve any exceptions.
- Manages work flow and process reviews to improve productivity and support new products and processes when introduced. Supports the team in achieving business outcomes through understanding of the team functions.
- Prepares monthly reports and dashboards that monitor key performance indicators as directed by the Manager
- Supports and implement change management initiatives; resolve escalated issues; provides 4-eyes sign off for compliance.
- Act as point of contact for internal and external clients. Investigates, resolves and provides feedback on client issues.
- Participates in special projects and performs other duties as assigned, including new Product Development, especially ETFs.
What they're looking for:
- Bachelors degree in a relevant field
- 2-4 years funds management experience.
- Strong understanding of Exchange traded funds, FINRA regulations and experience with the Investment Advisers Act 1940
- Demonstrated ability to understand complex technical issues.
- Demonstrated ability to make sound decisions under demanding conditions.
- Demonstrated strong understanding of funds management, financial markets and instruments.
- Strong leadership skills; prior supervisory experience preferred.
- Customer service orientation with excellent interpersonal and communication (oral and written) skills; team player with positive attitude.
- High level working knowledge of Microsoft Office (advanced Excel) and Outlook.
- Demonstrated strong relationship management capabilities.
They are not looking to sponsor for this position.
For more information get in touch with Thomas Byrne at Robert Walters on 212 704 9900 or firstname.lastname@example.org