1 month ago
Administer the Code of Ethics compliance program, using Schwab CT (e.g., personal trading, gifts and business entertainment, political contributions).
Prepare and submit various SEC, CFTC and foreign regulatory filings.
Assist in the development of internal compliance projects, such as creating periodic metrics and on-going tasks.
Review and analyze reports generated by the firm’s surveillance systems.
Assist with compliance training programs.
Assist in the completion, review, and maintenance of promotional marketing materials, including but not limited to DDQs, pitch books, fact sheet, etc.
Enhance internal compliance reports by identifying/closing any potential gaps, automating workflows/processes.
Take lead on the completion and maintenance KYC and new account broker documentation.