ApTask · 22 hours ago
Compliance Associate
Miami, FL
Full-time
Onsite
Mid Level
4+ years expApTask is a leading global provider of workforce solutions and talent acquisition services. They are seeking a Compliance Associate to ensure compliance with international cross-border and jurisdictional rules related to investment products offered to international clients.
Human ResourcesInformation TechnologySmall and Medium BusinessesStaffing Agency
Responsibilities
Assess client eligibility for purchasing specific investment products offered within IWM, including alternative investments, structured products, and syndicate offerings
Review client documentation required according to client type, product and jurisdictional/regulatory requirements
Ensure timely responses to trade requests
Interact with the field to clearly communicate client eligibility criteria and applicable product restrictions
Qualification
Required
4+ years of experience in financial services
BS/BA degree required. Advanced degrees a plus
Prior experience in product, risk and regulatory compliance functions. Familiarity with MiFID II, PRIIPs, AIFMD and Reg S a plus
High attention to detail with the ability to meet strict daily deadlines
Excellent analytical and communication skills with the ability to articulate business, technical, and operational concepts to key stakeholders
Company
ApTask
ApTask is a staffing and recruiting company offering staffing, project, and workforce solutions.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Taj Haslani
Founder
Recent News
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