Senior Document Review Specialist

Experience a new challenge in our Document Review team

We are seeking experienced candidates to join our team and assist with the review of incoming and outgoing documents. The successful candidate will ensure that all documents meet our established quality standards, regulatory compliance, and internal processes.

The ideal candidate will possess excellent analytical skills, attention to detail, and strong organizational abilities. A background in banking or finance is highly desirable.

As a member of our team, you can expect a competitive salary and benefits package, as well as opportunities for career growth and professional development.

Our team works collaboratively to achieve our goals, and we prioritize work-life balance. If you are a motivated and detail-oriented individual looking for a new challenge, we encourage you to apply

• Document Review: Ensure that documents (contracts, agreements, reports, etc.) are accurate, complete, and comply with relevant CLIENT 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. Escalate any non-compliance issues to CLIENT.

• Account Setup: Oversee 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 (such as forms, identification, and agreements) 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 that all information is updated and secure.

• 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 that all information is entered accurately in to the account management systems and aligned 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 to Client for resolution

• Transaction Processing: Accurately process purchase transactions including purchase requests in the Client 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 Client policies and audit requirements.
• Issue Escalation: Escalate any requests not in good order or requiring clarification and/or further documentation to Client for resolution

• Redemption Processing: Accurately process redemption requests for financial products (e.g., mutual funds, closed-end funds, or other investment vehicles), ensuring timely and correct execution according to Client policies.
• Verification and Validation: Review redemption requests for completeness, ensuring all required documentation, forms, and information are provided and compliant with Client 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 to Client for resolution.
• Documentation Management: Maintain complete and accurate records of redemption transactions, ensuring proper documentation is kept for audit, compliance, and reporting purposes.