Compliance Associate, Securities & Trading

Huatai Securities (USA), Inc; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

Huatai Securities (USA) Inc., based in midtown New York, seeks a Compliance Associate to support a robust compliance program across equity and fixed income trading, capital markets, and regulatory affairs.

You will perform surveillance, assist with regulatory filings, and help onboard new staff while ensuring adherence to SEC, FINRA, CFTC and NFA rules. Strong analytical, written, and communication skills are essential.

Qualifications

• Bachelor’s degree required.
• 3-5 years of compliance experience in securities-regulated environment.
• Solid knowledge of SEC, FINRA, CFTC, NFA rules and trading markets.
• Strong written and verbal communication skills.
• Independently perform surveillance reviews and resolve issues.
• Experience with onboarding and regulatory filings is preferred.

Responsibilities

• Plan and conduct trade surveillance and compliance reviews.
• Assess controls to ensure compliance with laws and internal policies.
• Collaborate with trading and operations teams to ensure compliance objectives.
• Review marketing materials and client communications for compliance.
• Assist in regulatory filings and regulatory exams or inquiries.
• Support onboarding of new staff and conduct training.
• Maintain and update the Firm’s Restricted List and conflicts reviews.

Skills

Bachelor’s Degree

3-5 years' experience

SEC/FINRA knowledge

Communication skills

Regulatory compliance

Surveillance reviews

Education

Bachelor’s Degree

Job description

Huatai Securities (USA) Inc., based in midtown New York, seeks a Compliance Associate to support a robust compliance program across equity and fixed income trading, capital markets, and regulatory affairs.

You will perform surveillance, assist with regulatory filings, and help onboard new staff while ensuring adherence to SEC, FINRA, CFTC and NFA rules. Strong analytical, written, and communication skills are essential.