Broker-Dealer Compliance - Associate

iCapital; New York (NY); On-site; USD 70,000 - 100,000; Full time

Job summary

A leading financial services firm is seeking a Compliance Associate to join their Regulatory and Compliance team. The role focuses on broker-dealer compliance, overseeing employee-related compliance matters, and supporting policy updates and training initiatives. Ideal candidates will have a strong understanding of FINRA rules and experience in compliance roles.

Qualifications

• 2-5 years of experience, preferably with broker-dealer background.
• Strong knowledge of FINRA rules.
• Ability to thrive in a fast-paced environment.

Responsibilities

• Collaborate on marketing initiatives, providing compliance guidance.
• Maintain and update policies in response to regulatory changes.
• Develop training to meet SEC and FINRA requirements.

Skills

Communication

Project Management

Process Development

Education

JD (Juris Doctor)

Job description

Join to apply for the Broker-Dealer Compliance - Associate role at iCapital.

About the Role

iCapital is seeking a Compliance Associate to join its Regulatory and Compliance team, focusing on broker-dealer compliance. The role involves overseeing employee-related compliance matters, including review and approval of outside brokerage accounts, personal trading, private investments, and outside business activities. The candidate will also support the team with policy updates, monitoring, testing, and compliance tasks.

Responsibilities

1. Collaborate across business lines on marketing initiatives, providing compliance guidance.
2. Maintain and update policies and procedures in response to regulatory changes and new business initiatives.
3. Develop and deliver company-wide training to meet SEC and FINRA requirements.
4. Assist in preparing for and responding to regulatory inquiries and audits.

Qualifications

1. 2-5 years of experience, preferably with broker-dealer background.
2. Strong knowledge of FINRA rules.
3. Excellent verbal communication and interpersonal skills.
4. Ability to thrive in a fast-paced environment with a learning mindset.
5. Strong project management and process development skills.
6. JD is a plus but not required.