Regulatory Compliance Associate – NYC, FinServ

Pure Search; New York (NY); On-site; USD 70,000 - 110,000; Full time

Job summary

Pure Search is partnering with a leading global investment firm to appoint a Regulatory Compliance Associate based in New York. The role is hands-on within a lean compliance function, covering marketing review, regulatory filings, testing and policy development.

You will work with stakeholders in Compliance and Legal, plus wider business, gaining broad exposure on a global platform. Ideal candidates have 2–4 years of compliance and FINRA broker-dealer experience.

Qualifications

• 2-4 years of compliance experience within financial services.
• Direct compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms.
• Hands-on marketing and communications review experience.
• Working knowledge of FINRA rules and the Investment Advisers Act.

Responsibilities

• Review marketing materials, investor communications, press releases and social media content.
• Prepare and support SEC and FINRA regulatory filings.
• Support licensing and registrations for regulated personnel.
• Develop, update and implement compliance policies and procedures.
• Execute compliance monitoring and testing.
• Develop and deliver employee training.
• Administer the firm’s electronic compliance training platform.
• Monitor regulatory developments and assess their impact on the business.

Skills

Compliance experience

FINRA rules knowledge

Marketing review

Investment Advisers Act

Series 7/24 licenses

Communication skills

Independent work

Team collaboration

Job description

Pure Search is partnering with a leading global investment firm to appoint a Regulatory Compliance Associate based in New York. The role is hands-on within a lean compliance function, covering marketing review, regulatory filings, testing and policy development.

You will work with stakeholders in Compliance and Legal, plus wider business, gaining broad exposure on a global platform. Ideal candidates have 2–4 years of compliance and FINRA broker-dealer experience.