Experienced Compliance Professional needed for large financial client near Trenton, NJ.
Duties include, performing functions related to ensuring that accounts are maintained
within certain investment guidelines as well as researching and resolving related issues.
Requires a minimum of 5 years experience in the brokerage industry, with good working
knowledge of securities and the features of a variety of investments (e.g., mutual funds,
equities, structured notes, fixed income secutities etc.) Prior experience within an area
responsible for compliance, oversight or control is a plus. Excellent verbal and written
communications skills are a requirement in order to interface with Branch Office
Management teams regarding the status of accounts in relation to their compliance with
investment guidelines and to prepare accurate/concise reports, as well as to conduct
meetings and respond to inquiries.
Working hours: 9am-5pm, overtime hours required
Extensive Excel skills are required in order to conduct account reviews and prepare
weekly reports. Relies on experience and judgment to plan and accomplish goals. Works
under general supervision; reports to a supervisor or manager.
Randstad is a world leader in matching great people with great companies. Our
experienced agents will listen carefully to your employment needs and then work
diligently to match your skills and qualifications to the right job and company. Whether
you're looking for temporary, temporary-to-permanent or permanent opportunities, no one
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