What are the responsibilities and job description for the Compliance Clerk position at TEKsystems?
*Description:*
We are seeking a highly organized and detail-oriented Operations and Administration Associate to support the day-to-day operations of the Managed Investments and Fund Compliance Division and the administration of our Personal Trading Policy. In this role, you will be responsible for ensuring compliance, managing onboarding processes, maintaining records, and providing ongoing support to the team. You will work closely with divisional leadership, subject matter experts, and various stakeholders to streamline processes and enhance the overall efficiency and quality of our operations.
*Lead group and solo training and onboarding sessions as needed for all access persons, ensuring a comprehensive understanding of the Personal Trading Policy.
*Accurately and timely maintain all required records related to personal trading and onboarding activities.
*Actively seek opportunities to improve the efficiency, quality, and experience of personal trading administration and onboarding processes.
*Provide ongoing support to the Personal Trading Administration (PTA) team and assist with quarterly certifications.
*Monitor and triage team mailboxes, working collaboratively with subject matter experts to address inquiries and requests in a timely manner.
*Assist with scheduling and executing subadvisor oversight and board preparations.
*Maintain the division's SharePoint site, ensuring proper versioning, linking, and organization of all team documents.
*Collect, review, and maintain all broker statements (both digital and paper) in accordance with regulatory requirements.
*Review systems to ensure accurate reporting of transactions entered by associated persons.
*Handle the necessary documentation and communication for violations and waivers.
*Manage Business & Entertainment Reporting forms, including collection, filing, and reviewing for compliance.
*Conduct research on new investment opportunities brought forward by access persons and determine their reportability.
*Provide support for board preparations, including scheduling due diligence calls with subadvisors and preparing necessary information for compliance reporting.
Pay: 24-27/hr
*Skills:*
Compliance, administrative support, analytical skill, communication and writing skills, sharepoint, personal trading policies, investment operations, investment compliance
*Top Skills Details:*
Compliance,administrative support,analytical skill,communication and writing skills
*Additional Skills & Qualifications:*
Must Have
*Ability to work independently.
*Attention to detail
*Demonstrated ability to handle confidential corporate and personal information with discretion.
*Excellent analytical skills
*Strong written and verbal communication skills.
Nice To Have
*Experienced with Sharepoint
*Familiarity with personal trading policies.
*Knowledge of investment operations and compliance.
*Experience Level:*
Intermediate Level
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
We are seeking a highly organized and detail-oriented Operations and Administration Associate to support the day-to-day operations of the Managed Investments and Fund Compliance Division and the administration of our Personal Trading Policy. In this role, you will be responsible for ensuring compliance, managing onboarding processes, maintaining records, and providing ongoing support to the team. You will work closely with divisional leadership, subject matter experts, and various stakeholders to streamline processes and enhance the overall efficiency and quality of our operations.
*Lead group and solo training and onboarding sessions as needed for all access persons, ensuring a comprehensive understanding of the Personal Trading Policy.
*Accurately and timely maintain all required records related to personal trading and onboarding activities.
*Actively seek opportunities to improve the efficiency, quality, and experience of personal trading administration and onboarding processes.
*Provide ongoing support to the Personal Trading Administration (PTA) team and assist with quarterly certifications.
*Monitor and triage team mailboxes, working collaboratively with subject matter experts to address inquiries and requests in a timely manner.
*Assist with scheduling and executing subadvisor oversight and board preparations.
*Maintain the division's SharePoint site, ensuring proper versioning, linking, and organization of all team documents.
*Collect, review, and maintain all broker statements (both digital and paper) in accordance with regulatory requirements.
*Review systems to ensure accurate reporting of transactions entered by associated persons.
*Handle the necessary documentation and communication for violations and waivers.
*Manage Business & Entertainment Reporting forms, including collection, filing, and reviewing for compliance.
*Conduct research on new investment opportunities brought forward by access persons and determine their reportability.
*Provide support for board preparations, including scheduling due diligence calls with subadvisors and preparing necessary information for compliance reporting.
Pay: 24-27/hr
*Skills:*
Compliance, administrative support, analytical skill, communication and writing skills, sharepoint, personal trading policies, investment operations, investment compliance
*Top Skills Details:*
Compliance,administrative support,analytical skill,communication and writing skills
*Additional Skills & Qualifications:*
Must Have
*Ability to work independently.
*Attention to detail
*Demonstrated ability to handle confidential corporate and personal information with discretion.
*Excellent analytical skills
*Strong written and verbal communication skills.
Nice To Have
*Experienced with Sharepoint
*Familiarity with personal trading policies.
*Knowledge of investment operations and compliance.
*Experience Level:*
Intermediate Level
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
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