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
· 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