Compliance Associate
Our client is a financial services firm looking for candidates with generalist compliance and broker-dealer experience. They are located in NYC and the role is 4 days in office. They will consider candidates who have at least 2 years of experience. This is a generalist role where you will be responsible for assisting in trainings, updating policies and procedures, and keeping abreast of new regulations, amongst other tasks.
Any of the following experience will be helpful:
- Code of ethics (gifts & entertainment, political contributions, outside business activities)
- Employee personal trade & e-comm surveillance
- Compliance manual
- Regulatory filings
- Assisting with exams and audits from regulatory bodies (SEC, FINRA, etc.)
Plus: Series 7 and 24 licenses (not required)
Our client is a financial services firm looking for candidates with generalist compliance and broker-dealer experience. They are located in NYC and the role is 4 days in office. They will consider candidates who have at least 2 years of experience. This is a generalist role where you will be responsible for assisting in trainings, updating policies and procedures, and keeping abreast of new regulations, amongst other tasks.
Any of the following experience will be helpful:
- Code of ethics (gifts & entertainment, political contributions, outside business activities)
- Employee personal trade & e-comm surveillance
- Compliance manual
- Regulatory filings
- Assisting with exams and audits from regulatory bodies (SEC, FINRA, etc.)
Plus: Series 7 and 24 licenses (not required)