Compliance Associate

Michael Page; New York (NY); On-site; USD 100,000 - 140,000; Full time

Benefits offered by this job

Competitive salary

Job summary

Michael Page is seeking a Compliance Specialist based in New York to oversee regulatory compliance across marketing, supervision, and employee programs within a financial services environment.

The role requires 3+ years in compliance for investment advisers or broker-dealers, with Series 7/63 and Series 24 licensing timelines. Strong communication and analytical skills are essential for success in a fast-paced setting.

Qualifications

• Bachelor's degree required; advanced degree preferred.
• Minimum of 3 years of compliance experience within an investment adviser, asset management, or broker-dealer environment.
• Strong understanding of U.S. securities regulations impacting investment advisers and broker-dealers.
• Series 7 and Series 63 licenses required or obtainable within six months; Series 24 required or obtainable within twelve months.
• Familiarity with regulatory filings such as Form ADV, Form PF, and Form BD.
• Excellent communication, organizational, and analytical skills.
• Ability to build strong working relationships across business functions and manage multiple priorities in a fast-paced environment.
• Self-motivated, collaborative professional with a strong interest in alternative investments and regulatory compliance.

Responsibilities

• Review marketing materials, investor communications, and promotional content to verify compliance with SEC and FINRA requirements.
• Perform supervisory approval and oversight of marketing materials upon obtaining the appropriate licensing credentials.
• Monitor inbound and outbound communications across various channels and maintain documentation supporting compliance reviews.
• Oversee electronic communication surveillance activities, including maintenance of monitoring parameters, keyword libraries, and review protocols.
• Administer employee compliance programs through designated compliance systems and tools.
• Monitor personal securities transactions, outside business activities, political contribution disclosures, gifts and entertainment reporting, and other employee compliance obligations.
• Investigate exceptions and escalate potential compliance concerns as appropriate.
• Respond to employee inquiries regarding firm policies and regulatory requirements.
• Support regulatory filing processes, including the preparation, review, and submission of required forms and disclosures.
• Assist with maintaining broker-dealer registrations and associated regulatory records.
• Coordinate registration-related activities, licensing requirements, and continuing education obligations for registered personnel.
• Maintain accurate compliance records and documentation in accordance with regulatory standards.
• Participate in annual compliance reviews and testing designed to assess the effectiveness of the firm's compliance and supervisory programs.
• Assist with regulatory risk assessments, monitoring activities, and control evaluations.
• Support the development, maintenance, and enhancement of compliance policies, procedures, and internal controls.
• Contribute to ongoing compliance initiatives and process improvement efforts.
• Support anti-money laundering compliance activities across the advisory and broker-dealer businesses.
• Conduct OFAC screening, Know Your Customer (KYC) reviews, and related due diligence procedures.
• Assist in identifying, investigating, and escalating potentially suspicious activity.
• Help maintain compliance with applicable AML and financial crimes regulations.
• Assist in coordinating responses to regulatory examinations, audits, and information requests from internal and external parties.
• Deliver compliance training programs and onboarding sessions for employees.
• Partner with teams across marketing, portfolio management, operations, risk, and other business functions to support regulatory compliance initiatives.
• Participate in special projects and perform additional compliance-related responsibilities as needed.

Skills

Regulatory knowledge

Communication

Analytical skills

Organizational skills

multitasking

Education

Bachelor's degree

Advanced degree

Job description

Job Title

Compliance Specialist

Job Description

Key Responsibilities

• Review marketing materials, investor communications, and promotional content to verify compliance with SEC and FINRA requirements.
• Perform supervisory approval and oversight of marketing materials upon obtaining the appropriate licensing credentials.
• Monitor inbound and outbound communications across various channels and maintain documentation supporting compliance reviews.
• Oversee electronic communication surveillance activities, including maintenance of monitoring parameters, keyword libraries, and review protocols.

Employee Compliance & Monitoring

• Administer employee compliance programs through designated compliance systems and tools.
• Monitor personal securities transactions, outside business activities, political contribution disclosures, gifts and entertainment reporting, and other employee compliance obligations.
• Investigate exceptions and escalate potential compliance concerns as appropriate.
• Respond to employee inquiries regarding firm policies and regulatory requirements.

Regulatory Filings & Registration Management

• Support regulatory filing processes, including the preparation, review, and submission of required forms and disclosures.
• Assist with maintaining broker-dealer registrations and associated regulatory records.
• Coordinate registration-related activities, licensing requirements, and continuing education obligations for registered personnel.
• Maintain accurate compliance records and documentation in accordance with regulatory standards.

Compliance Testing & Program Administration

• Participate in annual compliance reviews and testing designed to assess the effectiveness of the firm's compliance and supervisory programs.
• Assist with regulatory risk assessments, monitoring activities, and control evaluations.
• Support the development, maintenance, and enhancement of compliance policies, procedures, and internal controls.
• Contribute to ongoing compliance initiatives and process improvement efforts.

Anti-Money Laundering & Financial Crime Compliance

• Support anti-money laundering compliance activities across the advisory and broker-dealer businesses.
• Conduct OFAC screening, Know Your Customer (KYC) reviews, and related due diligence procedures.
• Assist in identifying, investigating, and escalating potentially suspicious activity.
• Help maintain compliance with applicable AML and financial crimes regulations.

Regulatory Examinations, Training & Cross-Functional Support

• Assist in coordinating responses to regulatory examinations, audits, and information requests from internal and external parties.
• Deliver compliance training programs and onboarding sessions for employees.
• Partner with teams across marketing, portfolio management, operations, risk, and other business functions to support regulatory compliance initiatives.
• Participate in special projects and perform additional compliance-related responsibilities as needed.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Qualifications

• Bachelor's degree required; advanced degree preferred.
• Minimum of 3 years of compliance experience within an investment adviser, asset management, or broker-dealer environment.
• Strong understanding of U.S. securities regulations impacting investment advisers and broker-dealers.
• Series 7 and Series 63 licenses required or obtainable within six months; Series 24 required or obtainable within twelve months.
• Familiarity with regulatory filings such as Form ADV, Form PF, and Form BD.
• Excellent communication, organizational, and analytical skills.
• Ability to build strong working relationships across business functions and manage multiple priorities in a fast-paced environment.
• Self-motivated, collaborative professional with a strong interest in alternative investments and regulatory compliance.

What's on Offer

• Competitive salary ranging from $100,000 to $140,000 USD.
• Permanent position based in New York.

Job Summary

Sector: Financial Services

Sub Sector: Compliance & Legal

Industry: Financial Services

Location: New York

Contract Type: Permanent

Consultant Name: Connor Duenas

Job Reference: JN-062026-7041783