Regulatory Associate in Raleigh, NC with Greene Resources

Date Posted: 1/8/2021

Job Snapshot

Job Description


Job Number: 40084


Regulatory Associate


Job Description:

Our client, a communications company that serves broker, issuer and fund clients, is seeking a Regulatory Associate to join their team! The primary purpose of the Regulatory group is to work with Investment Companies, obtaining all applicable regulatory materials (i.e. prospectus, annual reports, etc.) for distribution to our Broker Clients who have holdings with the Investment Company. Ultimately each FSA (Fund Service Associate) reporting into this position will cultivate a strong working relationship with the Investment Company and promote the company's services.


Responsibilities:


  • Learn, recognize and apply Financial Services regulatory requirements to daily work and responsibilities

  • Maintain strong working relationships with Investment Companies assigned to you

  • Complete all tasks and duties within the company's set guidelines and regulatory policies

  • Identify and escalate potential issues

  • Interact with peers, both internal and external, and function as part of a team

  • Ability to work and adjust output according to fluctuations of workload


Education Requirements:


  • Bachelor's Degree preferred


Desired Background/Skills:



    Qualifications:


    • 1-2 years of experience working in a professional work environment where close attention to detail and confidentiality is required

    • Financial experience is a plus

    • Intermediate Excel skills

    • Excellent written and verbal communication


    Other Information:




      Greene Resources is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.