Compliance Associate: Trading Desk & Regulatory Reporting

Madison-Davis, LLC; United States; On-site; USD 60,000 - 80,000; Full time

Job summary

A global investment management firm is looking for a Compliance Associate to monitor trading activities and ensure regulatory compliance. This full-time position involves resolving compliance alerts, reporting, and process improvement initiatives within the compliance program. The ideal candidate has a mix of technical compliance work and strong collaborative skills in finance. Join a dynamic team to enhance controls and contribute to compliance initiatives, ensuring alignment with client guidelines. Apply now!

Responsibilities

• Review and resolve post‑trade compliance alerts and daily trading reports in partnership with trading and operations teams.
• Support client and regulatory reporting in collaboration with Compliance, Legal, Portfolio Management, Relationship Management, and IT.
• Identify and implement process improvements within the portfolio compliance program.
• Maintain restricted lists, monitor account restrictions, and prepare client certifications and regulatory disclosures.
• Ensure compliance documentation is current, perform reconciliations, manage team requests, and support ad hoc projects.

Job description

A global investment management firm is looking for a Compliance Associate to monitor trading activities and ensure regulatory compliance. This full-time position involves resolving compliance alerts, reporting, and process improvement initiatives within the compliance program. The ideal candidate has a mix of technical compliance work and strong collaborative skills in finance. Join a dynamic team to enhance controls and contribute to compliance initiatives, ensuring alignment with client guidelines. Apply now!