- Expiry Date: 13 August 2022
- Referral: firstname.lastname@example.org
** This role requires that all successful applicants be fully vaccinated against COVID-19 as a condition of engagement, and provide proof of such vaccination(s) within 3 days of commencement of services. **
Top 3 Skills:
1-2 years' financial industry experience
Strong Microsoft Office skills, specifically Microsoft Excel (v-lookup, pivot tables)
Exceptional problem solving skills; ability to offer strategic solutions to problems
This role updates client data, conducts regulatory checks for accounts and works with multiple downstream teams to ensure all regulatory requirements are satisfied.
The role liaises with many teams including risk, documentation, connectivity, regulatory, margin, and interest.
The group is responsible for several Non-KYC regulatory programs and checks from front to back as well as project work related to the regulatory environment.
Refresh data and documentation for existing clients on an ongoing basis including at periodic reviews
Update firm systems and databases with information / documentation obtained from clients
Handle inquiries and ad hoc requests from internal clients including Compliance where required
Perform remediation or uplift of client records to required standards where needed in line with defined procedures
Produce high quality error free work independently on a timely basis with at expected throughput rates
Ability to handle volume spikes and prioritize work including ad-hoc requests and projects to meet business demands in a timely manner
Respond to change e.g. regulation change, new business and/or technology projects.
Assist manager(s) in providing status updates to management on a regular basis to create transparency and to reduce risks.
Coordinate and execute projects related to client onboarding and regulatory data with global team members
Monitor onboarding queues, and advise internal stakeholders on outstanding regulatory requirements
Face-off with key stakeholders in the onboarding process, including Business Units, Compliance, Risk, etc. to manage day-to-day Run-The-Bank (RTB) functions of NCNB including regulatory & product documentation for client on-boarding, data management, and data quality management.
Review and respond appropriately to exception reports and management reports designed to help manage risk (regulatory risk, operational risk, etc), workload, and performance of staff.
Improve quality and effectiveness of these reports and coordinate with others to establish new reports where needed.
Perform Quality Assurance (QA) checks on a regular basis, address issues identified in QA checks, and improve existing QA checks.
Perform user acceptance testing for enhancements to technology-based processes, controls, and applications.
Create, improve and maintain written procedures.
Respond to inquiries from Legal and Compliance, Internal Audit, and regulators.
About ASK: ASK Consulting is an award-winning technology and professional services recruiting firm servicing Fortune 500 organizations nationally. With 5 nationwide offices, two global delivery centers, and employees in 42 states-ASK Consulting connects people with amazing opportunities.
ASK Consulting is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all associates.