Compliance Associate

Confidential; New York (NY); On-site; USD 100,000 - 145,000; Full time

Benefits offered by this job

401(k) with company matching

Health insurance

Dental insurance

Vision insurance

Life insurance

Disability insurance

Flexible spending account

Commuter benefits

Paid time-off

Job summary

Confidential in New York seeks a Compliance Associate with 1–3 years of experience to support broker-dealer compliance across investment banking, equity research and institutional sales & trading.

The role involves advising on daily compliance matters, monitoring trading activity, and developing controls and procedures to satisfy regulators. Licensing such as SIE and Series 24/16/57/4 is required or obtainable promptly.

Qualifications

• 1–3 years of compliance experience in broker-dealer operations.
• Familiarity with regulatory frameworks and licensing processes (SIE, Series 24, 16, 57, 4).
• Knowledge of internal controls, policies and procedures.

Responsibilities

• Provide day-to-day advisory on all compliance matters for institutional broker/dealer operations and affiliated registered investment advisor.
• Monitor and supervise daily equity trading, research, sales and banking activity.
• Design and implement internal controls, policies and procedures.
• Respond to information requests from regulatory bodies.
• May perform other regulatory and legal functions and take on special projects as needed.

Skills

Compliance experience

Licensing requirements

Job description

A full-service investment bank and asset management firm focusing on technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 -3 years of compliance experience. The Compliance Associate will assist in all aspects of broker-dealer compliance as it relates to investment banking, equity research and institutional sales & trading. This is a great opportunity to learn all facets of broker-dealer and asset management compliance. The responsibilities of the positions include but are not limited to:

• The overall day-to-day advisement in all compliance matters pertaining to the operations of an institutional focused broker/dealer as well as a registered investment advisor that has public and private funds under management
• Monitoring and supervising daily equity trading, research, sales, and banking activity
• Designing and implementing internal controls, policies and procedures
• Responding to requests for information from regulatory bodies
• May perform other regulatory and legal functions
• May be assigned special projects from senior management when needed

Ideal candidate will possess 1- 3 years of compliance experience. Proper licensing will be required (series SIE, 24, 16, 57, 4, etc); must be able to obtain within a reasonable time period

Familiarity with some or all of the following is a major plus:

• CRD – form U4/U5
• Firm Element Continuing Education
• Information Barriers & Conflicts of Interest
• Rule 3210, 3270, 3280
• Market Making

The good-faith expected salary range for the above position is $100,000- $145,000 depending on factors including but not limited to the candidate’s experience, skills, license registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance, flexible spending, commuter; and paid time-off plan.