CAREER PORTAL

Compliance Officer

Title: Compliance Officer
Location: NYC
Schedule: Hybrid

Main notes:
• Bachelor’s degree
• 3 to 5 years' financial industry experience
• Must have experience working in a Compliance Department / Group (not just interface with Compliance teams)
• Looking for someone who’s hungry, takes initiative, and wants to grow within the organization
• Automation of workflows including onboarding employees, vendor management, conflicts management, clearing trades, reconciliations, account documentation, reviewing data, report tracking and backlogs
• Highly organized, ability to multi-task and work in a fast-paced environment
• Support various business groups and teams
• Proficient using Excel and other MS applications

Functions:
• Process personal account disclosure and pre-clearance forms
• Reconcile personal trading data that comes via the electronic feed via our third-party vendor
• Assist with the process of reconciling receipt of paper statements for brokerage accounts 
• Review employee certification documents and action accordingly
• Answer employee inquiries related to employee activities via the phone hotline and shared mailbox
• Perform Ad hoc reporting and complete projects related to data reconciliation
• Review employee activity data/metrics and identify trends and patterns
• Track new hire onboarding requirements and follow up as necessary

Estimated Min Rate: $45.00
Estimated Max Rate: $50.00


What’s In It for You?
We welcome you to be a part of the largest and legendary global staffing companies to meet your career aspirations. Yoh’s network of client companies has been employing professionals like you for over 65 years in the U.S., UK and Canada. Join Yoh’s extensive talent community that will provide you with access to Yoh’s vast network of opportunities and gain access to this exclusive opportunity available to you. Benefit eligibility is in accordance with applicable laws and client requirements. Benefits include:

• Medical, Prescription, Dental & Vision Benefits (for employees working 20+ hours per week)
• Health Savings Account (HSA) (for employees working 20+ hours per week)
• Life & Disability Insurance (for employees working 20+ hours per week)
• MetLife Voluntary Benefits
• Employee Assistance Program (EAP)
• 401K Retirement Savings Plan
• Direct Deposit & weekly epayroll
• Referral Bonus Programs
• Certification and training opportunities

Note: Any pay ranges displayed are estimations. Actual pay is determined by an applicant's experience, technical expertise, and other qualifications as listed in the job description. All qualified applicants are welcome to apply.

Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Visit https://www.yoh.com/applicants-with-disabilities to contact us if you are an individual with a disability and require accommodation in the application process.

For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

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