Regulatory Compliance Officer

Summary

The KJESS Regulatory Compliance Officer is responsible for applying an introductory understanding of the applicable independence rules and regulations in executing procedures that contribute to providing basic guidance to field professionals on the application of firm policy and regulatory rules, and in providing entry-level guidance directly to field professionals on the application of such policy and rules in an area that requires limited judgment. ​ These resources are responsible for performing various tasks in accordance with standard operating procedures provided by the Clients’ RM Personal Independence team including, but not limited to Hypercare Preparation and Follow up, Broker Import Tasks, Scheduling, Managing the Hypercare Mailbox, Account Statement and Questionnaire Reviews. The JESS Officer reports primarily to the JESS RM Personal Independence Assistant Manager but will also take direction from other JESS Senior Officers and Senior Specialists Client team members who are accountable for supported work. Closing Date: 30/04/2025

Responsibilities

• • Provide field professionals an introductory understanding and guidance of the applicable professional independence standards or routine matters involving professional standards or firm policy
• • ​Perform basic independence technical research to contribute to the technical guidance and execution of tasks
• • ​Resolve customer inquiries, including sending meeting requests and emails via Outlook, and making telephone calls
• • ​Train new team members and be available for questions; update training materials as required
• • ​Participate in open exchange of information across the team
• • ​Perform multiple tasks including time sensitive requests
• • ​Input data into SharePoint Site and Broker Import System (Information and documents)
• • ​Review documents submitted by professionals such as Account Statements, Client Authorization Forms and Questionnaires to ensure/confirm compliance to Independence Policy
• • ​Assist with special projects, as needed
• • ​Perform other operations tasks, as needed

Required Skills

• Communication- Delivering clear, effective communication and takes responsibility for understanding others. This includes:

  • • Customer Service - Demonstrating a commitment to public service; serves and satisfies internal and external customers; holds oneself accountable for quality outcomes.

• Collab & Teamwork - Working cooperatively with others, inside and outside the organization, to accomplish objectives to build and maintain mutually beneficial partnerships, leverage information, and achieve result by:

  • • ​Analyzing the needs of business partners
  • • ​Establish relationships and credibility with business partners.

• Stakeholder Management - the process of maintaining good relationships with the people who have the most impact on your work. This includes:

  • • Build and maintain positive relationships with internal peers and other colleagues, in ways that help to deliver the strategy, not just your personal objectives

• Technical Competencies:

  • • Ethics Knowledge - Understands and applies knowledge of ethics principles, and promotes compliance with, appropriate statutes, regulations, policies, and procedures.
  • • ​Risk Management - Plans and implements measures that will avoid, overcome, or compensate for elements of risk.
  • • ​Financial Acumen - Maintains and applies a broad understanding of financial management principles to ensure decisions are fiscally sound and responsible.
• • Prioritization, time management, collaboration
• • ​Excellent oral and written communication skills
• • ​Good knowledge and use of office productivity tools
• • ​Ability to learn and use other business information systems
• • ​Ability to complete lower complexity tasks accurately and completely with limited direction
• • ​Demonstrate a keen eye for detail

Qualifications

• • ​Bachelor’s degree in the Business field from an accredited college or university with 2+ years of work experience in a public accounting firm, a plus
• • ​Independence compliance rules and regulation knowledge, a plus
• • ​Accounting/Finance Knowledge, a plus
• • ​Highly organized in high volume and fast pace work environment
• • ​Business & data analysis and critical thinking skills
• • Strong problem-solving skills, organization, and independent judgment skills
• • ​Experience handling time sensitive requests

Additional Information and Instructions

• SPECIAL CONDITIONS:

  • • ​Expected to work in a fast pace team environment
  • • ​Will be working primarily in a paperless environment and expected to be using information systems for the entire workday to access data or perform activities
  • • ​May be required to work extended hours periodically

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