Job Description

YOUR IMPACT

• If you are looking to apply your due diligence skills while also learning about the changing regulatory landscape, our team invites you to apply for a position on the team. We are seeking a professional who can work with our internal stakeholders and clients to execute the Third-Party Distributor Due Diligence Program. This position requires, a thorough understanding of our Global Framework for Due Diligence, client service/on-boarding environment, and knowledge of the industry, our client base, and our systems.

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
• Knowledge of financial markets and products
• Excellent written and verbal communication skills, and strong client service orientation
• Proficiency using the Microsoft Office Suite in particular Excel, PowerPoint and Microsoft Word
• Experience in Client Onboarding/ Customer Identification Program (CIP)/Know Your Customer (KYC) processes a plus
• Understand structure of trading counterparts
• Self-motivated and proactive team player who takes ownership and accountability of projects, and has strong organizational skills to effectively manage competing priorities
• Flexible and able to work well under pressure in a team environment
• Proven analytical and problem-solving skills with meticulous attention to detail to enable the ability to communicate complex items to a wide array of internal counterparties

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