Senior Compliance Associate
Job Summary
Supporting enterprise compliance initiatives, the contract Enterprise Senior Associate - Personal Trading will manage compliance tasks remotely, ensuring adherence to relevant laws and regulations while documenting activities and tracking progress to completion.
Key responsibilities
- Prepares and updates compliance work in electronic systems to track open issues to closure
- Completes assigned compliance tasks and projects under the direction of Compliance Team leadership
- Communicates with users to gather necessary data for compliance-related inquiries and tasks
Required qualifications
- University degree preferred
- 3+ years of relevant experience required; 5+ years preferred
- Proficient in Excel, including basic formulas such as vlookup
Complete Job Description
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