Compliance Associate

Full Time

Investment Firm Client

Office Status: Remote

Responsibilities include, but are not limited to:

  • Analyze data and derive insights and risk indicators with the help of business intelligence tools
  • Assist in implementing information barrier policies and procedures by maintaining the watch and restricted lists, deal lists and handling conflicts clearance
  • Monitor personal trading and electronic communications of colleagues while performing periodic compliance testing/surveillance
  • Monitor employee gift & entertainment, political contributions, and outside business activities
  • Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance related issues
  • Participate in the drafting of compliance related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR)
  • Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of colleagues and potential compliance issues arising out of monitored interactions
  • Perform other tasks and duties as required and assigned

Experience and Skills

  • Bachelor’s degree from an accredited university, preferably in Finance, Economics, Business or related field
  • Understanding of FINRA, SEC and other regulatory requirements
  • Highly organized with the ability to multi-task and manage multiple projects and competing priorities¬†without sacrificing accuracy or efficiency
  • High levels of ethics, integrity and judgment
  • Excellent communication and presentation skills with the ability to communicate effectively across various levels of an organization
  • Detail-oriented, strong analytical, problem-solving and critical-thinking skills
  • Self-starter able to work within a fast-paced team environment
  • Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
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