Compliance Associate — Financial Services & Regulation

Dynamics Executive Search; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

Dynamics Executive Search seeks a detail-oriented Compliance Associate to support investment and employee compliance in a dynamic financial services environment in New York.

The ideal candidate has 2–5 years in compliance within financial services and is eager to develop expertise across investment management, broker-dealer, and employee compliance. This role partners with Compliance, Legal, Operations, HR, Risk, and business teams.

Qualifications

• Bachelor's degree in Finance, Business, Accounting, Economics, or a related field.
• 2–5 years of compliance or regulatory experience within the financial services industry.
• Experience supporting investment advisers, asset managers, broker-dealers, registered funds, ETFs, or other investment products is preferred.
• Knowledge of federal securities regulations and compliance practices.

Responsibilities

• Support the administration and ongoing enhancement of the firm's compliance program in accordance with applicable regulatory requirements and internal policies.
• Conduct compliance monitoring, surveillance, and testing activities, including electronic communications reviews, personal trading surveillance, investment guideline monitoring, and other risk-based compliance reviews.
• Assist with employee compliance matters, including personal securities transactions, Code of Ethics administration, outside business activities, private investments, political contributions, gifts and entertainment, and employee certifications.
• Support employee onboarding and offboarding processes, including regulatory registrations, disclosures, licensing, and related compliance requirements.
• Assist with regulatory registration activities, including processing regulatory filings, maintaining registration records, and coordinating licensing examinations and continuing education requirements.
• Prepare compliance reports, dashboards, certifications, and documentation for senior management, committees, and Boards of Directors, as appropriate.
• Assist with the administration of compliance programs related to investment advisers, registered funds, and broker-dealer activities.
• Support regulatory filings, examinations, inquiries, and internal or external audits.
• Draft, maintain, and update compliance policies, procedures, and related documentation.
• Assist with compliance training initiatives, including new hire orientation, annual training programs, and targeted regulatory education.
• Support control room activities, restricted and watch list administration, information barrier monitoring, and conflict-of-interest reviews, as applicable.
• Collaborate with internal business partners and external service providers to resolve compliance matters and promote adherence to regulatory and fiduciary obligations.
• Participate in regulatory change management initiatives, system implementations, testing, and other strategic compliance projects.
• Perform additional compliance-related responsibilities and special projects as assigned.

Skills

Analytical thinking

Organizational skills

Problem-solving

Communication skills

Attention to detail

Team collaboration

Education

Bachelor's degree in Finance, Business, Accounting, Economics, or related field

Tools

Regulatory systems

Microsoft Excel

Portfolio compliance systems

FINRA registration tools

Job description

Dynamics Executive Search seeks a detail-oriented Compliance Associate to support investment and employee compliance in a dynamic financial services environment in New York.

The ideal candidate has 2–5 years in compliance within financial services and is eager to develop expertise across investment management, broker-dealer, and employee compliance. This role partners with Compliance, Legal, Operations, HR, Risk, and business teams.