Role details

Compliance Associate

New York   •  Permanent

Bullet points

  • A compliance opportunity with a premier global asset management firm
  • Opportunity to utilize compliance skillset with a top tier financial institution

About Our Client

A premier global asset management firm.

Job Description

  • Develop an understanding of the business lines and the related compliance issues and provide advice to the business on a variety of issues.
  • Coordinate with the compliance department with respect to certain conflicts issues, including pre-deal conflict checks.
  • Provide compliance coverage for all other conflicts of interest, including employee trading, outside business interests, gifts and entertainment (including providing certain pre-approvals and conducting certain surveillance for each).
  • Analyze relevant laws and regulation and determine applicability to the business, in coordination with the compliance department or counsel.
  • Manage broker dealer registration, continuing education (regulatory element), and filing requirements for the broker dealer and its registered representatives.
  • Draft, update and implement policies and procedures as needed.
  • Develop and provide appropriate compliance training for all employees in accordance with a needs analysis and training plan.
  • Handle regulatory reviews and inquiries and coordinate responses as needed.
  • Manage NY and Houston office inspections.
  • Conduct an annual broker dealer review and report and handle the annual CEO certification, all in accordance with FINRA rules.
  • Assist AML compliance with onboarding and vetting of clients in accordance with AML program.
  • Provide guidance with respect to the firms supervision framework.
  • Conduct email communication reviews in accordance with firm policies.
  • Manage any customer complaints.

The Successful Applicant

  • 4-6 years of compliance or other relevant working experience recommended.
  • Compliance experience in a banking/broker dealer environment.
  • Basic knowledge of FINRA rules and SEC regulation.
  • BA degree or experience in finance/banking preferred.
  • Demonstrated ability to work with various departments and to coordinate projects efficiently.
  • Ability to work effectively in a team environment.
  • Ability to work independently while understanding when to involve other groups or team members.

What's on Offer

Competitive market salary with benefits.

Apply for this job

Click the Apply or LinkedIn button below or contact John Laurine quoting job reference 1217003
As you are using an Apple iOS device we are unable to offer you the CV upload function. Please apply with your Linkedin profile below or contact John Laurine quoting job reference 1217003