Be an early applicantLess than 25 applicantsPosted by Agency
W3Global ยท 6 days ago
Compliance and Operations Analyst
Baltimore, MD
Full-time
Onsite
Entry Level
1+ years exp
Wonder how qualified you are to the job?
Maximize your interview chancesConsultingRecruiting
Insider Connection @W3Global
Responsibilities
Assisting the CCO with the administration of all aspects of the Firm's compliance program, including management of the compliance calendar and oversight of recordkeeping requirements
Performing daily email monitoring to identify compliance issues.
Performing daily, weekly, monthly, quarterly, and annual compliance reviews including trade surveillance process.
Supporting CCO to meet internal and external reporting requirements.
Assisting in the day-to-day review of Firm's incoming and outgoing correspondence.
Assisting in the review of outside business activity, gifts and entertainment, political contribution, outside brokerage account and private securities transaction requests.
Assisting in gathering information & data in response to regulatory and other internal and external audits, exams, inquiries, or assessments as needed.
Review client accounts and transactions daily in support of the Firm's AML policies and procedures.
Completing FinCEN 314(a) reviews.
Keeping current with federal and state laws and regulations, assisting with updating policies and procedures as requested
Assisting with oversight, testing & remediation in accordance with FINRA Rule 3120 and SEC Rule 206(4)-7.
Assisting the CCO with Firm element training and ad hoc employees training regarding changes in securities rules, regulations, and firm policies.
Conduct office inspections of non-branch office locations.
Additional duties and assignments as needed by the Firm and regulatory requirements.
Open new accounts for Registered Representatives and Investment Advisory Representatives
Complete and send forms to clients for account maintenance and service requests
Submit service requests on behalf of clients and/or RRs
Back-up to monitor Action Items as needed for RRs whose assistant is out.
Additional duties and assignments as needed by the Firm and regulatory requirements.
Qualification
Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.
Required
BA or BS degree
1-3 years of previous investment advisory, securities, financial or regulatory experience
Series 7 and 24 required or must obtain within 90 days
General knowledge of USA PATRIOT Act, Bank Secrecy Act
Working knowledge of FINRA Gateway and SEC regulatory framework
Excellent analytic, presentation, evaluation, and critical thinking skills
Proficient with Microsoft Office Suite
Preferred
Series 65 or 66 preferred, but not required
Experience with SmartStation, Envestnet, DocuWare, Box, Quest CE, BSA E Filing system, and NRS Comply all a plus, but not required
Company
W3Global
W3Global is a leading provider of end-to-end consulting services, empowering businesses to achieve their strategic goals and optimize their operations.
501-1,000 employees
Funding
Current Stage
Late StageLeadership Team
Sridhar Venkatesan
Founder & CEO
Company data provided by crunchbase
