Compliance/Regulatory Project Manager

Overview

Hybrid
$50 - $55
Contract - W2
Contract - 6 Month(s)
No Travel Required

Skills

strong organizational
Compliance
Regulatory
detail oriented

Job Details

Job Title: Project Manager - Compliance/Regulatory

Location: Westlake, TX/Hybrid

Duration: 6+ Month

Top three Skills:

strong organizational

detail oriented

Manage projects

PROJECT MANAGER JOB DESCRIPTION:

Research and review files for a large population of records, including legal and agreement documents. Identify and track which files are on record and fully complete. If not complete or missing, document the missing files and applicable information, partnering with a broader project team and leadership to obtain correct or missing information or files.

Contractor position responsible for inventorying, gathering, and monitoring legal agreements and disclosures on file with cross-functional partners and potentially end clients. This contractor may also be allocated to other critical business initiatives within a related scope, including but not limited to policy and procedure review and enhancement, or other regulatory or business processes.

TOP SKILLS PER AM: - Strong Organizational skills - Attention to Details - Regulatory Knowledge/Experience - understanding of legal documents - File Management Excel

if they have exp with FINRA OR any series certification will be helpful but not required

Policy management, Advisory management

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