Interested in finding more jobs in Carlsbad, CA? Click Here to create a Climber profile today!
Sprott Global Resource Investments/Sprott Asset Management Usa Work Values
Interested in finding out if you are the type of person this company is looking for? Create an account and take our patented DNA assessment now to see how you compare.
Daily Duties at Sprott Global Resource Investments/Sprott Asset Management Usa:
Provide strict enforcement of all FINRA and SEC rules and regulations and Sarbanes-Oxley Act and PATRIOT Act compliance. Solely responsible for SEC, FINRA and State regulatory notifications/audits/queries, written supervisory procedures and code of ethics, KYC/CIP reviews, BSA/AML/OFAC compliance, SAR submissions, business continuity plans, annual compliance meetings and attestations, submission and investigation of complaints/ arbitrations, Web CRD/IARD, regulatory filings and written correspondence/email/social media/advertising. Responsible for supervisory review of all trades/error reports/cashiering logs, operational issues, investment banking activities, internal auditing and due diligence. Managed creation and maintenance of company websites and jointly managed human resources. Heavy interaction with management, traders, brokers, investment advisors, operations, parent company and clearing firm.
What they like about Sprott Global Resource Investments/Sprott Asset Management Usa:
Working in an organization that is technologically advanced, creative, and innovative is critical in your assessment of hiring companies. Less important to you are stability of the organization, the length of time an organization has been in business, and the business' plans for the future. You prefer a fast-moving company that will take risks to achieve its goals and objectives. The length of time the company has been in business is irrelevant. Maintaining status quo is unnecessary. You thrive on change, uncertainty and the upside of potential business risks, especially those associated with innovation. Stability for the long haul is not nearly as important as is working in an atmosphere that is charged with a sense of urgency and constant change.
Tags
compliance, operations, copy editor, risk assessment, consulting, audits, anti-money laundering, bank secrecy act, proofreader
Information about Sprott Global Resource Investments/Sprott Asset Management Usa
Company Rank: Not Available
Average length of employment : 16 years
Average salary of employees: $100,000
These are some of the questions we asked our climbers about their experiences with Sprott Global Resource Investments/Sprott Asset Management Usa:
| 05| | ||
| Were your performance expectations clearly communicated? | 0.0 |
|
| Were you recognized for meeting or exceeding expectations? | 0.0 |
|
| Did you feel like your personal contribution was important? | 0.0 |
|
| Was your career path clearly outlined and discussed? | 0.0 |
| 03| | ||
| I would recommend this as a place of employment. | 0.0 | |
| I believe in the purpose of this organization. | 0.0 | |
| I would work for this organization again. | 0.0 | |
| I feel employees are fairly compensated. | 0.0 |
