Compliance Associate

Lawyers On Demand; United States; Remote; USD 20,664 - 137,760; Full time

Job summary

An innovative firm is seeking a Compliance Associate to support compliance programs for a global client. This role involves assisting the Chief Compliance Officer with compliance reviews, policy implementation, and regulatory filings. Ideal candidates will have over three years of compliance experience, particularly with SEC and FINRA regulations. The position offers a dynamic work environment where you can make a significant impact in compliance and risk management. If you're detail-oriented and possess strong communication skills, this opportunity is perfect for you to thrive in a flexible, remote-friendly setting.

Qualifications

• 3+ years of broker-dealer and/or investment adviser compliance experience required.
• Strong communication and interpersonal skills to work effectively with stakeholders.

Responsibilities

• Assist CCO with compliance reviews, testing, and management reporting.
• Monitor compliance with policies surrounding employee personal trading and other BD and IA Code of Ethics.

Skills

Compliance Experience

Knowledge of SEC and FINRA Rules

Investment Advisers Act Knowledge

Communication Skills

Detail-oriented

Technical Skills in Microsoft Office

Ability to Multi-task

Job description

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(Contract: Temporary | Monday – Friday | Remote: USA (New York) | Start Date: 3/24/25 | Pay Rate: $40 hourly)

Lawyers on Demand (LOD) is seeking a Compliance Associate to support one of our global clients in delivering the highest level of service to internal and external clients alike. We are looking for a Compliance Associate with compliance experience in implementing SEC and FINRA rules to assist the Chief Compliance Officer (CCO) with managing the U.S. broker-dealer (BD) and registered investment adviser (RIA) compliance programs.

Primary Responsibilities:

• Assist CCO with compliance reviews, testing, and management reporting.
• Assist CCO with the development, implementation, and maintenance of the BD and RIA’s compliance policies and procedures and training programs.
• Monitor compliance with policies surrounding employee personal trading, outside business activities, political contributions, and other BD and IA Code of Ethics policies and procedures.
• Provide appropriate real-time support, advice, and training to the relevant front office and infrastructure personnel with respect to BD and RIA compliance.
• Assist with regulatory filings, including Form ADV, Form CRS, and Form PF.
• Review, interpret, and assess regulatory impact related to proposed and new securities rules and laws.
• Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews.
• Review and approve marketing materials and other public communications.
• Assist CCO with mock exams/audits, AML, and 3120 annual reviews.
• Support investor qualification and AML/KYC verifications for private fund investors and BD customers.
• Opportunity to assist with risk management plans for NPM’s business units.

Qualifications:

• 3+ years of broker-dealer and/or investment adviser compliance experience.
• Must have good working knowledge of the SEC and FINRA rules in these areas (or at a broker-dealer as a minimum).
• Working knowledge of the Investment Advisers Act of 1940, SEC, SRO, and AML rules and regulations.
• Ability to work dynamically in a small private company and culture.
• Strong communication, interpersonal, and presentation skills to work effectively with internal and external stakeholders.
• Detail-oriented, accurate, organized, and able to set priorities.
• Ability to multi-task and adapt to shifting priorities.
• Strong technical skills in the Microsoft Office suite.
• Ability to work at our offices in midtown Manhattan 4 days a week with remote working at certain times throughout the year.

Lawyers On Demand (LOD) offers flexible talent placement rates that range from $15 to $100 per hour depending upon experience level and specific skills requested by the client, candidate’s general skill set, applicability of candidate skill set to client need, client budget, number of hours requested, and other factors. A specific rate of pay for a project will be discussed with you if it is determined that you are a potential fit for a role.

Seniority level

Not Applicable

Employment type

Temporary

Job function

Analyst, Finance, and Legal

Industries

Financial Services and Legal Services