Compliance Clerk
4 days ago
Job Title: Sr Compliance Clerk
Location: Downtown Milwaukee
Pay Range: $26-$30 hr
Type: 6-Month Contract
Company Overview:
We are a leading firm dedicated to excellence in managed investments and fund compliance. We are seeking a highly organized and detail-oriented Operations and Administration Associate to support the day-to-day operations of our Managed Investments and Fund Compliance Division and oversee the administration of our Personal Trading Policy.
Key Responsibilities:
- Lead group and individual training sessions for access persons, ensuring a thorough understanding of the Personal Trading Policy.
- Accurately maintain all required records related to personal trading and onboarding activities in a timely manner.
- Identify and implement opportunities to enhance the efficiency, quality, and overall experience of personal trading administration and onboarding processes.
- Provide ongoing support to the Personal Trading Administration (PTA) team, assisting with quarterly certifications.
- Monitor and manage team mailboxes, collaborating with subject matter experts to address inquiries and requests promptly.
- Assist in scheduling and executing subadvisor oversight and board preparations.
- Maintain the division's SharePoint site, ensuring proper versioning, linking, and organization of all team documents.
- Collect, review, and maintain broker statements (both digital and paper) in compliance with regulatory requirements.
- Review systems to ensure accurate reporting of transactions entered by associated persons.
- Manage documentation and communication regarding violations and waivers.
- Handle Business & Entertainment Reporting forms, including collection, filing, and compliance review.
- Conduct research on new investment opportunities reported by access persons and determine their reportability.
- Support board preparations by scheduling due diligence calls with subadvisors and preparing necessary information for compliance reporting.
Qualifications:
- Bachelor's degree in Finance, Business Administration, or a related field preferred.
- Strong organizational skills with a keen attention to detail.
- Excellent communication skills, both written and verbal.
- Ability to manage multiple tasks and prioritize effectively.
- Proficient in Microsoft Office Suite and familiarity with SharePoint.
- Knowledge of compliance and regulatory requirements in investment management is a plus.
- Prior experience in operations or administration within a financial services environment is preferred.
If this is a role that interests you and you’d like to learn more, click apply now and a recruiter will be in touch with you to discuss this great opportunity. We look forward to speaking with you
About ManpowerGroup, Parent Company of: Manpower, Experis, Talent Solutions, and Jefferson Wells
ManpowerGroup® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We develop innovative solutions for hundreds of thousands of organizations every year, providing them with skilled talent while finding meaningful, sustainable employment for millions of people across a wide range of industries and skills. Our expert family of brands – Manpower, Experis, Talent Solutions, and Jefferson Wells – creates substantial value for candidates and clients across more than 75 countries and territories and has done so for over 70 years. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2022 ManpowerGroup was named one of the World's Most Ethical Companies for the 13th year - all confirming our position as the brand of choice for in-demand talent.
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