Job Description
Job Description
"All candidates must be directly contracted by ASK Consulting on their payroll and cannot be subcontracted. We are unable to provide sponsorship at this moment".
Job Title: Compliance Associate
Location: Miami, FL
Duration: 12+ Months
Pay Range: $35.00 to $40.00 Hourly
Type: This role will be fully on-site
Interview: 2 rounds of Interviews (Zoom & On-Site)
Job Description:
Were seeking someone to join our team as a Business Risk Product Specialist to support a critical function focused on ensuring compliance with international cross-border and jurisdictional rules. This role is responsible for ensuring that products such as syndicate offerings, structured products and alternative investments are offered to international clients following applicable regulatory requirements and Firms policies.
The successful candidate will gain valuable exposure to how jurisdictional regulations interact with product offerings and will play a key role in helping the firm navigate complex cross-border regulatory frameworks when delivering investment solutions to international wealth management clients.
What you'll do in the role:
- Assess client eligibility for purchasing specific investment products offered within IWM, including alternative investments, structured products, and syndicate offerings
- Review client documentation required according to client type, product and jurisdictional/regulatory requirements
- Ensure timely responses to trade requests
- Interact with the field to clearly communicate client eligibility criteria and applicable product restrictions
Skills Required:
- 4+ years of experience in financial services.
- BS/BA degree required. Advanced degrees a plus.
- Prior experience in product, risk and regulatory compliance functions.
- Familiarity with MiFID II, PRIIPs, AIFMD and Reg S a plus
- High attention to detail with the ability to meet strict daily deadlines
- Excellent analytical and communication skills with the ability to articulate business, technical, and operational concepts to key stakeholders.
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.