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Immediate temp to perm opportunity within a prestigious advisory firm.
Chance to work directly with the Chief Compliance Officer.
About Our Client
A small prestigious advisory firm located in New York, who is growing its team in the Downtown Manhattan office.
Compliance Associate Responsibilities:
- Screen and route incoming calls
- Perform marketing review
- File ADV and privacy notice
- Conduct client file review
- Develop standard client agreements
- Renew SEC registrations
- Coordinate transitions
- Perform email surveillance
- Help open new accounts
- Assist Chief Compliance Officer in day to day responsibilities
The Successful Applicant
Compliance Associate Qualifications:
- Bachelor's Degree
- Excellent communication and organizational skills
- Financial services experience
- High Compliance competence
- Highly developed interpersonal skills
- Strong knowledge of SEC/FINRA regulatory requirements
- Expertise in financial planning and investment management
What's on Offer
Competitive hourly rate and full benefits offered through Michael Page.