Associate, Compliance

Madison-Davis, LLC; New York (NY); On-site; USD 130,000 - 140,000; Full time

Job summary

An established industry player is seeking a dedicated Associate in Compliance to enhance their Regulatory Compliance Program. This full-time role involves crucial responsibilities such as executing compliance protocols, managing regulatory filings, and ensuring adherence to policies. The ideal candidate will thrive in a fast-paced environment, showcasing expertise in AML, KYC, and BSA regulations. Join a dynamic team where your contributions will directly impact the firm's compliance landscape and help navigate the complexities of the financial services industry.

Qualifications

• Experience in Regulatory Compliance and familiarity with AML, KYC, and BSA.
• Ability to manage compliance monitoring and reporting systems.

Responsibilities

• Assist with the execution and monitoring of the Regulatory Compliance Program.
• Gather information for regulatory filings and maintain compliance reports.

Skills

Regulatory Compliance

AML

KYC

BSA

Regulatory Filings

Education

Bachelor's Degree in Finance or related field

Job description

This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$130,000.00/yr - $140,000.00/yr

Direct message the job poster from Madison-Davis, LLC

VP-Head of Legal & Compliance Research @ Madison-Davis, LLC | AML, KYC, BSA

Asset management firm located in NYC looking to bring on a new "Associate, Compliance" to join their team. This role is full time in office.

Responsibilities:

• Assisting the execution, administration and monitoring of the firms Regulatory Compliance Program
• Gathering information for and completing regulatory filings, including Form ADV, Form PF, 13F and 13H filings, and other regulatory filings.
• Facilitating the implementation and monitoring of compliance with policies, procedures and protocols, including those in respect of personal trading, political contributions, use of expert consultant networks, electronic communications, outside activities, custody, information walls, and other policies, procedures and protocols.
• Maintaining compliance monitoring (and related) reports.
• Maintaining compliance monitoring and reporting systems, including in respect of personal trading activities, compliance certifications, securities watch list, outside activities, and others.
• Assisting with the maintenance, organization and filing of compliance books & records.
• Assistance in cooperation with and responding to regulatory inquiries and examinations.

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance, Analyst, and Other

• Industries

  Financial Services, Banking, and Investment Banking

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