Compliance Associate (Principal) recruitment
We are actively seeking a Compliance Associate to monitor all business activity and ensure the firm remains in compliance with its policies, procedures and industry regulations.
Key responsibilities of the position include:
- Review proprietary and personal trading.
- Review transaction reporting and client account files.
- Provide guidance and education to firm employees on industry regulations and best practices.
- Review internal and external communications including sales and marketing literature, advertisements and educational materials.
- Research securities industry rules and regulations.
- Attend local industry meetings and conferences (ie. FINRA district).
- Perform CRD responsibilities such as processing securities registrations and updating Forms U-4/U-5.
- Perform compliance and investment advisor reviews and audits as per FINRA/SEC requirements.
Position Qualifications:
- A Bachelor’s degree in Finance, Economics or Business.
- A minimum of three years of compliance experience in the securities industry. Series 7, 24, and 65 or 66 licensing is helpful.
- Strong knowledge of equity and/or fixed income trading rules and supervision.
- Ability to pay attention to detail.
- Strong organizational skills; effective written and verbal communication skills.
- Solid analytical, problem-solving and time management skills.
- Ability to effectively prioritize and manage multiple tasks in a fast paced environment.
- Capable of working cohesively with sales, support and management teams.
- Lead by example in professionalism and ethical responsibility.
- Proficient in MS Office products, with a strong focus on Excel, Actimize, Bloomberg, Internet search engines and social media sites.
Our 28 years of success has resulted from exceptional client service, as well as recruiting and retaining motivated business professionals. Our goal is to inspire innovation, reward discovery, and stay committed to delivering value, all while maintaining an entrepreneurial spirit, pushing innovation, and raising the bar on workplace excellence.
We offer competitive compensation and a comprehensive benefits package. E/O/E
March 1, 2012
• Tags: Compliance, Compliance Associate (Principal) recruitment, Legal careers in the USA • Posted in: Financial