Compliance Associate

Manhattan Permanent USD80,000 - USD110,000
  • Opportunity to join a dynamic and rapidly developing firm.
  • Client will move quickly with the qualified candidate.

About Our Client

Our client is a top performing fin-tech firm, that provides financial advisors with an open marketplace for a variety of alternative investments. This client is headquartered in NYC.

Job Description

  • Aid with the monitoring process for FINRA registrations, licensing, training, and continuous education on a firm wide basis.
  • Perform reviews and approval of employee's personal accounts and trading, outside business activities, disclosure and attestations.
  • Complete compliance reviews of social media and e-comm, in a collaborative effort with the CCO.
  • Aid in the review of marketing materials, including those for private funds.
  • Help create and update FATCA reporting and various regulatory filings
  • Aid in the completion of regulatory exams, regulatory/exchange inquires, and due diligence reviews.
  • Preform maintenance on electronic due diligence databases.
  • Assist in Ad-Hoc projects.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

* 2 years of experience with compliance within financial services.
* Strong understanding of FINRA Rules.
* Understanding of the Investment Advisers Act of 1940 and Investment Company of 1940.
* Understanding of daily compliance functions of public and private funds.
* Bachelor's degree required
* FINRA Series 7 and Series 24 required

What's on Offer

  • Competitive salary package and bonus
  • Great benefits
  • Operating on a hybrid model
  • Virtual interview process
Juan Lavariega
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Job summary

Banking & Financial Services
Sub Sector
Compliance & Legal
Financial Services
Contract Type
Consultant name
Juan Lavariega
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