Governance/Compliance Specialist Jobs

REMOTE

Short-term Contract

Job Details:

I. WORK TO BE PERFORMED:

• Adding and removing accounts from brokerage feeds.
• Reviewing Business Courtesies and other Conflicts of Interest disclosures for Compliance Risk.
• Assist in transitioning My Compliance Technologies (MCT, formerly known as Schwab Compliance Technologies) to My Compliance Office (MCO).
• Enforcing Compliance deadlines.
• Creating cases to track resolutions of prohibited investments.
• Reviewing holdings reports and statements for prohibited investments.

II. SKILL AND EXPERIENCE REQUIRED:

• Understanding of brokerage accounts and investment types
• MCT and/or MCO experience. (If not this then Schwab Compliance Technologies)
• Experience assessing Compliance risk.

Notes from Manager:

• Looking for industry experience and should have worked in a compliance role that was subject to 3rd party (external) compliance/frameworks
• Governance/compliance focused role
• It is monitoring the platform conversion from a compliance standpoint