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Sprott Global Resource Investments/Sprott Asset Management Usa Work Values
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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:
Organizations with strong, centralized leadership are particularly attractive to you. You require a work environment with leadership that aggressively seeks to expand and grow the business and does so in a visible and decisive manner. In general you prefer to work in an environment in which there is a strong link between leadership, its actions, and a strong set of company-wide values.
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:
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| Were your performance expectations clearly communicated? | 0.0 |
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| Were you recognized for meeting or exceeding expectations? | 0.0 |
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| Did you feel like your personal contribution was important? | 0.0 |
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| Was your career path clearly outlined and discussed? | 0.0 |
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| 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 |
