Compliance Associate recruitment
Position Responsibilities
• Assist in the maintenance of restricted and watch lists;
• Assist in tracking/documenting compliance projects, compliance affirmations, reviews, and deadlines;
• Assist in the review and production of compliance policies and procedures ensuring that regulatory policies are kept up to date;
• Work closely with various teams within the firm to provide analysis and resolution on compliance related matters;
• Assist in reviewing personal trading of employees and related accounts – pre-clearance, evaluate trade blotter versus personal trades, and keep files of employee brokerage statements up to date.
• Monitor compliance restrictions of client accounts in a systematic, proactive fashion. Help define and perform accurate restriction tests. Draft and send compliance documents to clients monthly/quarterly/annually;
• Assist in compiling and reviewing all ongoing regulatory filings 13F, 13G, ADV, U4, U5, state registrations and foreign registrations;
• Assist in researching new regulations and guidelines;
Necessary Skills and Qualifications
• Bachelor’s Degree;
• Basic knowledge of the securities industry required;
• 1-3 years of industry experience – Compliance experience is not necessary but a plus;