Asset & Wealth Management - Supervisory Senior Associate - New York, NY
: Job Details :

Review next-day trades to ensure compliance with industry rules and regulations. Provide support for trade reviews concerning registration exemptions, permissible legal forms, and Blue Sky laws. Escalate supervisory issues with actionable recommendations for resolution. Conduct root cause analysis to support the Solutions Supervisory team. Collaborate with Field and Central Supervisory Managers to resolve exceptions promptly. Compile data and materials for various governance forums. Conduct training for newly hired Central Supervisory Associates. Identify process improvements and drive change initiatives. Participate in project work and additional tasks as assigned. Required Qualifications, Capabilities, and Skills:Ability to work independently and make sound, risk-based decisions. Strong research, analytical, and problem-solving skills. Excellent interpersonal, verbal, and written communication skills. Strong organizational skills and attention to detail. Proven ability to work in a d...Supervisor, Management, Associate, Senior, Wealth, Skills, Banking, Technology