Financial Document Review Specialist

Job Title: Documents Reviewer

We are seeking experienced professionals to review and verify documents, ensuring they meet established quality standards and regulatory requirements.

• Document Review: Ensure that documents (contracts, agreements, reports, etc.) are accurate, complete, and comply with relevant standards and legal requirements.
• Quality Control: Assess documents for completeness, consistency, clarity, and correctness, identifying discrepancies, errors, and missing information. Compliance Assurance: Verify that documents adhere to procedural and regulatory requirements and industry standards.

Account Setup and Management: Handle the end-to-end process of account creation, ensuring all necessary documents and information are collected, verified, and input correctly into the system.

• Documentation Review: Ensure that all account-related documents are complete, accurate, and in compliance with internal and regulatory requirements.
• System Management: Input and maintain customer data accurately in the account management systems, ensuring updated and secure information.

Account Maintenance: Manage ongoing maintenance of shareholder accounts, ensuring accurate and up-to-date information for the following activities:

• Account Updates: Perform regular updates and changes to customer accounts, including personal information, contact details, account preferences, and service selections.
• Error Resolution: Identify and resolve discrepancies or issues in account data, ensuring accurate entry into account management systems and alignment with internal records.
• Compliance Monitoring: Ensure that all account maintenance activities comply with regulatory requirements such as KYC (Know Your Customer), AML (Anti-Money Laundering), and other relevant standards.
• Issue Escalation: Escalate any requests not in good order or requiring clarification and/or further documentation.

Purchase Transaction Processing: Accurately process purchase transactions, ensuring all purchase requests and related documentation are handled in compliance with internal policies and agreements.

• Transaction Processing: Accurately process purchase transactions including purchase requests in the recordkeeping system.
• Verification & Validation: Ensure all purchase transactions are validated for correctness, including checking for discrepancies in trade date, dollar amount, pricing, and share quantities.
• Documentation Review: Review and maintain supporting documentation for purchase transactions, ensuring all records are complete, accurate, and compliant with internal policies and audit requirements.
• Issue Escalation: Escalate any requests not in good order or requiring clarification and/or further documentation.

Redemption Transaction Processing: Process redemption transactions related to financial products or services, ensuring timely and correct execution according to internal policies and regulatory standards.

• Redemption Processing: Accurately process redemption requests for financial products, ensuring timely and correct execution according to internal policies.
• Verification and Validation: Review redemption requests for completeness, ensuring all required documentation, forms, and information are provided and compliant with internal policies and regulatory requirements.
• Account Reconciliation: Verify redemption transactions by cross-checking with customer accounts, transaction histories, and redemption terms to ensure accurate processing.
• Issue Escalation: Escalate any requests not in good order or requiring clarification and/or further documentation.
• Documentation Management: Maintain complete and accurate records of redemption transactions, ensuring proper documentation is kept for audit, compliance, and reporting purposes.