Job Description: Cognizant Team to Assist Business Conduct Compliance

Job Requirements

· Prior experience with a US advisor or broker/dealer firm strongly preferred.

· Experience using the ComplySci Compliance software system will be critical to success, but experience with competitor systems such as My Compliance Office or Star Compliance will also be helpful.

· Proficiency in Excel, Word and PowerPoint.

· Ability to interface effectively with US employees

Responsibilities

· Employee Account Disclosure, Tracking and Trading

1. Put employee accounts on broker feeds. This will require reading the ComplySci disclosure of new account and then consulting our spreadsheet of instructions for each broker and carefully executing instructions. Particular care must be taken with emailing employees’ personal data outside of Company. Follow up with broker until account is feeding on our system.

2. Provide employees with standard letters giving brokers permission to keep employee accounts at their firm. These are known as 3210 letters.

3. Assist Compliance VP with reviewing Communications items generated by the system and implementing comments and fixes. Examples include:

a. Matching trades to preclearance requests after execution

4. Later, with training and experience, move into:

a. Create new custom certifications in ComplySci at direction of Dan Sousa

b. Evaluate employees’ routine trade requests

· Employee Onboarding

1. Each Monday, synch weekly hires with ComplySci. Ensure that employees have actually been added to system. Communicate with Company employees that are not added as they should.

2. Synch off-cycle hires as requested by human resources

3. Send new hire email to new employees explaining required Compliance tasks

4. Schedule weekly new hire trainings

5. Make digital folder in Compliance’s files for every new employee

6. Review every departing employee for Termination Employees checklist. Request email review for each from PJ Kaur.

7. With training,

a. review employee pre-hire forms. Review every OBA and political contribution listed with PJ or Laurie and then approve with HR.

b. review employee background checks and background checks Review every issue found with PJ or Laure

c. Clear the employee with HR if both the pre-hire and the background checks are clear.

8. Later, with training and experience, evaluate every new employee to assess if each is a Covered Associate or Knowledgeable employee. Confirm status with Laurie Campbell. Then enter that status into Workday.

The Cognizant community:
We are a high caliber team who appreciate and support one another. Our people uphold an energetic, collaborative and inclusive workplace where everyone can thrive.

• Cognizant is a global community with more than 300,000 associates around the world.
• We don’t just dream of a better way – we make it happen.
• We take care of our people, clients, company, communities and climate by doing what’s right.
• We foster an innovative environment where you can build the career path that’s right for you.

About us:
Cognizant is one of the world's leading professional services companies, transforming clients' business, operating, and technology models for the digital era. Our unique industry-based, consultative approach helps clients envision, build, and run more innovative and efficient businesses. Headquartered in the U.S., Cognizant (a member of the NASDAQ-100 and one of Forbes World’s Best Employers 2025) is consistently listed among the most admired companies in the world. Learn how Cognizant helps clients lead with digital at www.cognizant.com

Cognizant is an equal opportunity employer. Your application and candidacy will not be considered based on race, color, sex, religion, creed, sexual orientation, gender identity, national origin, disability, genetic information, pregnancy, veteran status or any other characteristic protected by federal, state or local laws.

Disclaimer: 
Compensation information is accurate as of the date of this posting. Cognizant reserves the right to modify this information at any time, subject to applicable law.

Applicants may be required to attend interviews in person or by video conference. In addition, candidates may be required to present their current state or government issued ID during each interview.