or Associate to work closely with Discretionary Managers and their
respective Teams, Branch Management, Legal and Compliance personnel in
performing various surveillance functions including monitoring adherence to
stated guidelines and performance analysis.
This process is integral to properly manage the risks associated with
discretionary management of client assets. This position will be based in New
responsibility for Discretionary Management Account Oversight to ensure
adherence to program guidelines along with Firm and regulatory rules and
closely with Sales Teams and Branch Management in resolving and correcting any
violations or issues that may arise.
Perform ongoing surveillance and review using various outliers and
performance reports to detect any systemic issues and implement any preventive
measures necessary to mitigate potential risks relating to account management.
Minimum BA or BS; Knowledge of Investment Advisory Rules and Regulations and general Compliance rules is helpful as well as general understanding of asset management.Minimum two or three years relevant work experience; Excellent verbal and written communication skills, quantitative skills, and entrepreneurial orientation; Strong organizational and analytical skills; Self-motivated with effective interpersonal skills; Team orientation; A working knowledge of spreadsheet, word processing applications. Attention to detail is essential.
HERE TO APPLY
more info call Bernard at 212-385-0717