SIG has a job opportunity for an Administrator to join its Compliance team in support of our Employee Trading and Household Accounts program. Your role will entail the management and oversight of any accounts that employees open or maintain for their personal trading, to assure compliance with the Firm’s policies. We are looking for someone in this role who is very organized and detail oriented with a keen understanding of confidentiality requirements. By joining our team, you will have the opportunity to learn about our business, build relationships with employees across the firm and play a key role in ensuring that the firm meets its regulatory requirements in this space.
In this role, you will:
- Review and approve/reject employee trading requests via internal firm system; provide guidance or reasoning for decisions as rendered based upon firm guidance
- Monitor employee trading activities by keeping records of trading, requests/approvals, compliance forms and employee account statements.
- Communicate with other broker-dealers to request or stop receipt of duplicate account statements and trade confirmations as appropriate
- Manage regular and ad-hoc report or documentation requests
- Support regulatory exams by providing necessary documentation to auditors and examiners
What we're looking for
- Prior experience working in an administrative role required, preferably within a financial services or financial advisory firm
- Demonstrated experience with MS Office, especially MS Word and MS Excel
- Strong interpersonal skills with a keen attention to detail required
- Ability to act autonomously and manage work schedule in an efficient manner required
- Demonstrated experience managing highly confidential information
We don’t post salary ranges externally so any salary estimate you see listed here was not provided by SIG and may not be accurate.
SIG is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.
To submit your resume please reply to the above e-mail with your resume attached.
Send an e-mail to the above address with your resume attached.