Compliance Consultant (contract)
Newedge USA, LLC
Responsible for oversight of all activities to ensure compliance with applicable Patroit Act, rules and regulations. In addition to relevant baning, domestic and foreign exchanges and regulators, and NULI's internal procedures.
- Perform in-depth KYC profile review and determine KYC renewal profiles and requirements of existing clients.
- Ensure KYC renewal profile package is complete in accordance with firm's information and documentation requirements.
- Revuew background screening results for derogatory information.
- Maintain accurate database tracking regarding the requests for KYC renewals as well as logging KYCs on a daily basis.
- Update KYC Document Management database with KYC renewal information.
- Prepare and submit reports to management on status of KYC renewals.
- Work with the various sales teams and sales management staff.
- Other duties or projects, as assigned.