Regulatory Compliance Associate

Job Description

We are partnering with a leading global investment firm to appoint a Regulatory Compliance Associate, based in New York.

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This is a broad, hands-on role within a lean compliance function, covering marketing and communications review, surveillance, regulatory filings, registrations, testing and policy development. You will join a global platform, gain broad exposure and work closely with stakeholders not only in Compliance and Legal, but the wider business.

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Key Responsibilities

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• Review marketing materials, investor communications, press releases and social media content
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• Conduct electronic communications surveillance
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• Prepare and support SEC and FINRA regulatory filings
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• Support licensing and registrations for regulated personnel
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• Develop, update and implement compliance policies and procedures
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• Execute compliance monitoring and testing
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• Develop and deliver employee training
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• Administer the firm’s electronic compliance training platform
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• Monitor regulatory developments and assess their impact on the business
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Requirements

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• 2 - 4 years of compliance experience within financial services
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• Direct compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms
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• Hands-on marketing and communications review experience
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• Working knowledge of FINRA rules and the Investment Advisers Act
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• Series 7 and 24 licenses, or willingness to obtain them within six months
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• Strong judgment, problem-solving and communication skills
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• Ability to work independently and manage multiple responsibilities
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• A collaborative and adaptable approach suited to a lean team
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