New York, NY 10020-0000
- Assist with the conflict check process for all applicable transactions to ensure any potential relevant issues/conflicts are identified and raised.
- Obtain ISIN s from Bloomberg to add the applicable the securities to our Watch List and/or Restricted List ( WL/RL ).
- Run ad-hoc searches in Bloomberg to obtain all of the affiliates of a particular company.
- Periodically download the most recent WL/RL from STAR Compliance and compare it against the most recent Corporate WL/RL upload to make sure anything that s active is not missing in STAR (This can be done using a VLOOKUP or other formula to make it easier).
- Review all Screening Committee emails from Equity Capital Markets, Debt Capital Markets, Real Estate Finance, or Global Structured Credit Solutions, seeking approval to proceed with a securities offering transaction where the US broker dealer participates and confirm there are no Conflicts.
- Assist with the review of Actimize RL/WL trade alerts.
- Processing of Fidelifacts and Knopman invoices.
- Dual hatting entity confirmations.
- Fingerprinting set up and meeting attendee for compliance.
- Ordering and tracking of exam study materials.
- Assist in the preparation of the monthly registered rep report.
- New hire certification tracking.
Policies/Procedures and Training:
- Manage Compliance Department procedures maintain inventory / tracking sheet, manage update process (sending out reminder / follow up notifications, finalizing updated procedures), maintain inventory of procedures in a central share drive location)
- Enter face to face trainings into Intellum (process proposed and set up by Tucker as part of the automation process)
- Handle certain Intellum administrative functions: respond to / resolve issues reported by users; set up elearnings in Intellum
- Provide a quality control function on training completions, e.G., double check sign in sheets against recorded training completions
- Assist with assembling documents to meet audit and exam requests
Manager, Strategic Accounts
James has been going the extra mile for both candidates and clients since joining The Panther Group in 2009. When not at work, he spends his time having adventures with his two sons.
Fun Fact: James once had to shave his head when he lost a wager with a former Panther colleague that the Bruins would beat the Canadians in the playoffs.