Regulatory Compliance Associate

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

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.

Key Responsibilities

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

Requirements

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