Overview
Skills
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