Professional Responsibility Analyst

Purpose

The individual will handle numerous daily tasks within the Professional Responsibility Department during the 1pm-8pm shift.

Responsibilities

• Assisting the Professional Responsibility Coordinator in various professional responsibility and compliance matters
• Coordinating the collection and processing of sensitive firm-wide Client Relationship Documents into the CRD library
• Assisting with the Engagement Letter and Conflict Waiver tracking process in NMI
• Maintaining the Professional Responsibility Wiki page
• Providing support for the daily management of firm firewalls
• Analyzing and producing data for new business/matters at the firm
• Assisting the Audit Letter Response Group with inquiry procedures
• Producing and reviewing reports for Conflict Check Requests, Audit Inquiry Requests, Lateral Hire Disclosure Forms, and Trade Report Requests
• Explaining Professional Responsibility procedures to various stakeholders as needed
• Helping with projects on an as needed basis

Requirements

• Bachelor’s Degree
• Ability to learn quickly; multi-task, understand a diverse array of Firm systems, technology, and departmental operations
• Excellent typing, communication and computer skills
• Professional demeanor
• Excellent organizational skills
• Demonstrated initiative
• Ability to organize projects and follow through to completion
• Must be able to work independently and as a member of a team
• Ability to work under pressure and with a tight turn-around time
• High level of proficiency in MS office applications, especially Excel and Word