Personal Independence Inquiries– Officer (Regulatory Compliance) (K-JESS)

The KJESS RM Personal Independence Officer is responsible for applying an introductory understanding of the applicable independence rules and regulations.

***Only applications submitted via the link for the respective roles will be considered.***

JOB SUMMARY: 

The KJESS RM Personal Independence Officer is responsible for applying an introductory understanding of the applicable independence rules and regulations in executing procedures that contribute to providing basic guidance to field professionals on the application of firm policy and regulatory rules, and in providing entry-level guidance directly to field professionals on the application of such policy and rules in an area that requires limited judgment.

The JESS RM Personal Independence resources are responsible for performing various tasks in accordance with standard operating procedures provided by the Clients’ RM Personal Independence team including, but not limited to Hypercare Preparation and Follow up, Broker Import Tasks, Scheduling, Managing the Hypercare Mailbox, Account Statement and Questionnaire Reviews.
The JESS Officer reports primarily to the JESS RMPI Assistant Manager but will also take direction from other JESS Senior Officers and Senior Specialists Client team members who are accountable for supported work.

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JOB RESPONSIBILITIES

• Provide field professionals an introductory understanding and guidance of the applicable professional independence standards or routine matters involving professional standards or firm policy
• ​Perform basic independence technical research to contribute to the technical guidance and execution of tasks
• ​Resolve customer inquiries, including sending meeting requests and emails via Outlook, and making telephone calls
• ​Train new team members and be available for questions; update training materials as required
• ​Participate in open exchange of information across the team
• ​Perform multiple tasks including time sensitive requests
• ​Input data into SharePoint Site and Broker Import System (Information and documents)
• ​Review documents submitted by professionals such as Account Statements, Client Authorization Forms and Questionnaires to ensure/confirm compliance to Independence Policy 
• ​Assist with special projects, as needed
• ​Perform multiple tasks including time sensitive requests 
• ​Perform other operations tasks, as needed
  
  
  EDUCATION/EXPERIENCE
  
• ​Bachelor’s degree in the Business field from an accredited college or university with 2+ years of work experience in a public accounting firm, a plus
• ​Independence compliance rules and regulation knowledge, a plus
• ​Accounting/Finance Knowledge, a plus
• ​Highly organized in high volume and fast pace work environment
• ​Business & data analysis and critical thinking skills 
• Strong problem-solving skills, organization, and independent judgment skills
•  Experience handling time sensitive requests

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  SPECIAL CONDITIONS
• ​Expected to work in a fast pace team environment
• ​Will be working primarily in a paperless environment and expected to be using information systems for the entire workday to access data or perform activities
• ​May be required to work extended hours periodically 
  

Is this job for you?

If YES, please view the Job Description and APPLY on our job webpage immediately below:

Personal Independence Inquiries– Officer (Regulatory Compliance)

(APPLY HERE) 

Learn more about JESS here: K-JESS Homepage    

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