Investment Compliance Associate

  • $80-100k base plus bonus and great benefits
  • New York, NY, USA
  • Permanent, Full time
  • Robert Half - US
  • 15 May 19

Robert Half Financial Services is hiring for a Compliance Associate role for a Registered Investment Adviser and Broker Dealer firm. Our client requires at least 3+ years Compliance experience covering FINRA/SEC Regulations, and must be Series 7 registered.

The Investment Compliance Associate will conduct the below duties:

· Manage the Firm’s day-to-day compliance operations;

· Assist the CCO to implement the Firm’s core compliance program initiatives, and provide support to draft and evolve written compliance policies and procedures;

· Prepare and file certain required regulatory filings and disclosures with the SEC, FINRA, BCSC (e.g., Form BD, Form ADV);

· Assist with trade surveillance and system upgrade by working closely with IT.

· Provide ongoing hands-on support and execution with respect to critical ad-hoc compliance and firm-wide projects, as needed.


Skills & Experience:

· Proactive, motivated, team player, also able to work independently and an ability to manage and see projects through to completion;

· Confidence handling both daily tasks and complex projects, with strong time management skills and ability to prioritize;

· Solid understanding of fundamental Advisers Act concepts and rules as well as FINRA rules and regulations. Ability to research and interpret rules, policies, and requirements;

· Series 7 License;

· Comfort exercising judgment, communicating policies and reasons for procedures;

· Excellent written and oral communication skills and attention to detail;

· Project management skills a plus.


This Investment Compliance Associate role is located in midtown Manhattan so please only apply if you are able to travel to this location and have relevant experience for the role. The salary is flexible dependent on experience, but the initial range is $80-100k base plus bonus and great benefits (free healthcare coverage, free lunches, gym on site). If your profile matches the above criteria please contact me on ****