Compliance Associate

OVERVIEW :

Our firm is seeking a highly motivated, organized, and detail-oriented individual who will assist the Compliance Staff and other members of the Firm to enhance the day-to-day administration and growth of the Firm's compliance program. This is a position that requires Monday through Friday in-the office at our location in downtown New York City.

The applicant will be responsible for multiple areas including surveillance and monitoring activities; compliance training for registered representatives; drafting regulatory filings; written communications with regulatory agencies; documenting trade reviews; and assisting with due diligence. The applicant will be expected to balance multiple projects and duties simultaneously and to meet important deadlines.

RESPONSIBILITIES MAY INCLUDE :

• Assisting with the day-to-day compliance responsibilities, including but not limited to the administration of the reviews in the firm's personal trading, outside business activities, private securities transactions, electronic communications, exception reports, and trade surveillance reviews.
• Maintaining counterparty and institutional new account documents in accordance with the Bank Secrecy Act, Financial Crimes Enforcement Network, and U.S. Patriot Act as well as the Firm's Internal AML, KYC, and CIP programs.
• Drafting written responses and exhibits in response to requests for information from various regulatory bodies such as the SEC, FINRA, and from general inquiries and cyclical audits
• Ensuring compliance with regulatory reporting requirements for required reporting such as : The Trade Reporting and Compliance Engine (TRACE), and Consolidated Audit Trail (CAT) Reporting;
• Developing required compliance training for employees of the Firm such as Annual Compliance Questionnaire, Annual Compliance Meeting, and Firm Element Annual Training;
• Helping with new hire compliance onboarding / offboarding;
• Providing full lifecycle support of Policies and Procedures (evaluate, improve, and draft policies and procedures for current and proposed rules and regulatory developments applicable to the Firm) to support the compliance program;
• Assisting with a variety of special projects as needed

QUALIFICATIONS INCLUDE :

Salary $90K-$135K plus discretionary bonus.

Job in NY office 5 days a week