Compliance Associate

Compliance Associate

Our client, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.

Essential Functions:

·         The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and industry’s principles.

·         Continually improve Compliance Program for relevant entity by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant policies and procedures that comprise the compliance program.

·         Identify and react to changes in regulatory requirements impacting the broker/dealer.

·         Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Finds, interprets and implements directives and/or regulation that impact(s) the current compliance environment.

·         Execute on our broker-dealer compliance functions.

·         Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations.

·         Complete the annual review of the broker-dealer’s compliance.

·         Manage broker-dealer core compliance obligations, including, registration processes, continuing education, annual training.

·         Update written supervisory procedures and draft desktop procedures for broker-dealer functions.

·         Assist with our regulatory and annual compliance examinations.

·         Monitor employee communications in accordance with the firm’s e-surveillance program.

·         Coordinating with federal and state regulators.

·         Planning, implementing and overseeing risk-related programs and Assisting with compliance questions and other needs.


·         Bachelor’s degree in law, finance, business management or a related field.

·         3 – 5 years’ proven experience in a compliance officer role and broker/dealer-related and escalations.

·         Series 7 or equivalent required, Series 24 preferred or attained upon hiring.

·         Must be familiar with the FINRA CRD System and Gateway.

·         Broker-Dealer experience in Operations or Finance.

·         Knowledge of broker-dealer financial responsibility rules.

·         Good knowledge of legal requirements and procedures.

·         Highly-analytical with strong attention to detail.

·         Service-oriented; the ability to balance regulatory and policy standards along with a business perspective.

·         Exceptional organizational skills; the ability to effectively prioritize tasks, follow up and produce.

·         Working knowledge of MS Office suite including Word and Excel.

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