Compliance Associate (FINRA)
As a Compliance Associate, you will help promote and maintain the firm’s culture of regulatory compliance. This person is a key resource for the firm and will assist the Chief Compliance Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance department develops and maintains strong relationships across the research teams to foster a culture of professional, ethical, and responsible behavior. A successful candidate will possess a high level of initiative, professionalism, attention to detail, and organizational skills.
- Review written research product for approval prior to being sent to clients in our Equity and Market Research business.
- Review of email correspondence and social media accounts, prepare weekly report to review with CCO
- Review of alpha account trades, prepare weekly report to review with CCO
- Review and approve personal trading requests and monitor exception reports
- Conduct vendor risk assessment reviews
- Conduct reviews of client account files and other required FINRA files
- Attend internal department training sessions and client webinars for any Compliance questions
- Assist with annual compliance reporting requirements
- Review FINRA notices and relevant industry news, follow up with CCO
- Attend 1 -3 industry conferences per year, keep up with hot topics in industry
- Prompt escalation of any potential issues to the CCO
- Develop and maintain positive working relationships with internal clients, staff, and peers.
- Other duties as assigned to support the CCO and Compliance Manager
- Undergraduate degree is required; Business related degree is preferred
- 1 -3 years relevant compliance experience
- Critical thinking skills and a high attention to detail
- High ethical standards
- Able to communicate to all levels of staff effectively, both written and verbally
- Able to multi-task and remain organized and focused in a high-paced environment
- Series 7 and 24 preferred or willing to complete; completion of Series 87 is a plus
BENEFITS: Competitive salary, fully paid health insurance coverage, 401(k), training and development and a variety of other perks and benefits.
Meet Some of Cleveland Research Company's Employees
Equity Research Associate
As part of the Industrials Team, Owen builds working relationships with people in specific markets and turns what he learns into actionable stock calls for CRC’s clients.
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