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. 

Responsibilities:

  • 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

Required Qualifications:

  • 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.


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