Compliance Associate
Job Opportunity at CAPGEM Technical Services, LLC

Posted on May 18    440.226.1759

Location: Cleveland, OH
Job Type: Full Time
Job ID: W4120279

As a Compliance Associate, you will help promote and maintain the culture of regulatory compliance.  This person is a key resource and will assist the Chief Compliance Officer in identifying and mitigating potential conflicts and risks.  Our Compliance department develops and maintains strong relationships across teams to foster a culture of professional, ethical, and responsible behavior.  A successful candidate will possess a high level of initiative, professionalism, attention to detail, and organizational skills. 
·         Review written product for approval prior to being sent to clients in our Equity and Market Research business.
·         Review of email correspondence and social media accounts, prepare weekly report to review with CCO
·         Review of account trades, prepare weekly report to review with CCO
·         Review and approve personal trading requests and monitor exception reports
·         Conduct vendor risk assessment reviews
·         Conduct reviews of client account files and other required FINRA files
·         Attend internal department training sessions and client webinars for any Compliance questions
·         Assist with annual compliance reporting requirements
·         Review FINRA notices and relevant industry news, follow up with CCO
·         Attend 1 -3 industry conferences per year, keep up with hot topics in industry
·         Prompt escalation of any potential issues to CCO
·         Develop and maintain positive working relationships with internal clients, staff, and peers.
·         Other duties as assigned to support the CCO and Compliance Manager
Required Qualifications
·         Undergraduate degree is required; Business related degree is preferred
·         2+ years relevant compliance experience
·         Critical thinking skills and a high attention to detail
·         High ethical standards
·         Able to communicate to all levels of staff effectively, both written and verbally
·         Able to multi-task and remain organized and focused in a high-paced environment
·         Series 7 and 24 preferred or willing to complete; completion of Series 87 is a plus

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