Compliance Associate

Taylor Hodson; New York (NY); On-site; USD 55,000 - 90,000; Full time

Job summary

Taylor Hodson, Inc. is seeking a Compliance professional to join the New York office and support its Compliance Team in administering personal trading policies and employee activities.

The role requires strong organizational skills and meticulous attention to detail, working with a collaborative team to ensure policy compliance and timely responses. You will review disclosures, gifts, and pre-clearance requests, investigate conflicts, and respond to employee inquiries via phone and shared

Qualifications

• Strong organizational and detail-oriented mindset.
• Experience supporting compliance policies.
• Ability to handle confidential information.
• Effective communication via phone and email.

Responsibilities

• Process personal account disclosure and pre-clearance forms.
• Review Gift and Entertainment requests.
• Reconcile personal trading data from electronic feeds via third party vendor.
• Manage receipt of paper statements for brokerage accounts at non-designated brokers.
• Review employee certification documents annually and take action.
• Answer employee inquiries related to activities via hotline and mailbox.
• Perform ad hoc reporting and projects.
• Review reported outside business activities and private investments and perform conflict checks.
• Perform personal trading surveillance to ensure compliance with policy.

Skills

Attention to detail

Organizational skills

Communication skills

Team collaboration

Job description

Our client is looking for a Compliance professional to assist its Compliance Team. This candidate will assist a highly collaborative team in the New York office who supports the administration of the firm’s compliance policies as it relates to personal trading and employee activities. The individual must be highly organized and detail oriented.

Essential Job Functions

• Process personal account disclosure and pre-clearance forms
• Review Gift and Entertainment requests
• Reconcile personal trading data that comes via the electronic feed via our third party vendor
• Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers
• Review employee certification documents on an annual basis and action accordingly
• Answer employee inquiries related to employee activities via the phone hotline and shared mailbox
• Perform Ad hoc reporting and complete projects
• Review reported outside business activities and private investments and perform conflict checks
• Perform personal trading surveillance to ensure compliance with our personal trading policy.