As a member of the Compliance team, the Compliance Associate is involved in support of all aspects of Client's operations and regulatory compliance programs. The Associate will also work on special projects as assigned and assist on other matters relating to the business as requested.
The Associate will work closely with members of the Compliance team covering a broad range of broker-dealer and regulatory compliance work, specifically Trade Surveillance programs.
Assist in the development and maintenance of regulatory compliance programs at the firm, including handling surveillance alerts.
Major areas of responsibility include:
- Management and maintenance of trade surveillance alert systems and procedures
- Resolving system generated trade surveillance and best execution alerts
- Updating procedures related to trade surveillance
- Updating system internal user guide
- Communicating with system experts to resolve issues and make enhancements
- Management and maintenance of employee personal trading system and procedures
- Assistance in updating compliance policies and procedures
- Assistance with compliance reviews, testing and monitoring, and recordkeeping
- Assistance with SEC & Client examination preparation and other regulatory inquiries and/or inspections
- Assistance with required regulatory filings
- Interface with the business team and other management and compliance personnel on regulatory compliance matters, including trade surveillance alerts.
- Special projects as assigned
KNOWLEDGE, SKILLS AND ABILITIES:
Strong interest in the Broker Dealer and financial industry
Excellent organizational skills and ability to manage multiple priorities
Self-motivated and able to work independently
Bachelor's Degree in related field.
1-3 years of related work experience preferred, preferably in legal, financial services, or business setting.
Investment management or compliance experience.