Associate - Sr.

Location
Baltimore, MD

Job Type
Contract Full-Time

Pay Rate
$22.17
- PIPE request and Bank Service Request for all asset classes (PB, FX, Equity Swaps, Futures, CDS/IRS, Commodities, etc) and foreign markets.
- Following up with necessary groups (Sales, Credit, Documentation, AML, IED/FID Risk, and Operations.
- Following up with Clients to gather required documentation for compliance with firm AML
- Following up with internal groups to ensure all new legal entities meet firm AML Standards
- Initiating Requests to Global Network Management for the opening of Segregated Foreign Market IDs.
- Post Account Opening Follow up- checking other people’s work in terms of system set up for reporting bundles, mainframe codes, TransCap codes, etc.
- Ensuring the AML and Tax validations are complete prior to opening all new accounts within Prime Brokerage Account Readiness Review - send emails to various groups, especially in Ops, to put them on stand buy for the go-live.
- Creating Contact Lists for all new client Go Lives. Doc Tracking – collect legal docs, check for completeness, pass them to Budapest Docs group or others, chase for follow ups, etc.
- Following up with Clients to collect all required tax forms for all new legal entities Following up with internal groups to ensure that tax forms are collected for all new legal entities.
- Sending original tax forms to Baltimore for record keeping.
- Ensuring the accuracy of the information contained within the documentation tracking database.
-Specifically as related to updates made to the Go Live Date, ensuring various internal teams receive electronic version of documents received.

Skills Required:

• Ability to interact and build relationships with senior members of the business and across departments in the firm
• Interest in the bigger picture and keen to work on projects to enhance knowledge and streamline process
• Ability to identify and streamline process
• Strong problem solving skills; ability to offer strategic solutions to business and operational problems
• Understanding of the importance of risk mitigation
• Good Team Player
• Detail oriented
• Sound technical knowledge
• Excellent written and verbal communication skills
Project management skills

Skills Preferred
• Experience with documentation review, including knowledge of legal/compliance and AML policies.
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