What are the responsibilities and job description for the Finance - Asset Wealth Management Compliance - Due Diligence Operations Analyst position at Northpointe Staffing Professionals?
Individual within this role will apply due diligence skills while also learning about the changing regulatory landscape. Our client is seeking a professional who can work with internal stakeholders and clients to execute the Third Party Distributor Due Diligence Program. This position requires, a thorough understanding of Global Framework for Due Diligence, client service / on-boarding environment, and knowledge of the industry, our client base, and our system
HOW YOU WILL FULFILL YOUR POTENTIAL
- Ensure due diligence is performed on new and existing Third Party Distributors as well as other Intermediaries.
- Develop expertise in the Firm's Global Framework.
- Quarterback the due diligence review with TPD’s from start to the signing of an agreement.
- Coordinate with internal stakeholders during reviews to obtain necessary approvals.
- Propose and work on special projects as necessary (e.g. automation related projects, new business lines).
- Partner with the Sales organization to ensure a seamless distributor onboarding from front to back and liaise with multiple parties to bring about execution of an agreement.
- Other ad hoc responsibilities include but not limited to, red flag reviews, dealer terminations, and report monitoring.
PREFERRED QUALIFICATIONS
Bachelor's Degree Preferred; 2 Years of Experience Preferred
