Compliance Associate
$100k - $145kFull-time
Confidential
A full-service investment bank and asset management firm focusing on technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 -3 years of compliance experience. The Compliance Associate will assist in all aspects of broker-dealer compliance as it relates to investment banking, equity research and institutional sales & trading. This is a great opportunity to learn all facets of broker-dealer and asset management compliance. The responsibilities of the positions include but are not limited to:
- The overall day-to-day advisement in all compliance matters pertaining to the operations of an institutional focused broker/dealer as well as a registered investment advisor that has public and private funds under management
- Monitoring and supervising daily equity trading, research, sales, and banking activity
- Designing and implementing internal controls, policies and procedures
- Responding to requests for information from regulatory bodies
- May perform other regulatory and legal functions
- May be assigned special projects from senior management when needed
Ideal candidate will possess 1- 3 years of compliance experience. Proper licensing will be required (series SIE, 24, 16, 57, 4, etc); must be able to obtain within a reasonable time period
Familiarity with some or all of the following is a major plus:
- CRD – form U4/U5
- Firm Element Continuing Education
- Rule 2241 – Research Analyst & Research Reports
- Information Barriers & Conflicts of Interest
- Rule 3210, 3270, 3280
- Market Making
The good-faith expected salary range for the above position is $100,000- $145,000 depending on factors including but not limited to the candidate’s experience, skills, license registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance, flexible spending, commuter; and paid time-off plan.
Vacancy posted 2 days ago
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