Compliance – Vice President recruitment

Needham Company, LLC, a full service investment bank has an immediate opening within its New York based Compliance Department. This position will be responsible for the overall day-to-day compliance functions of Needham Asset Management and assisting with certain aspects of compliance for the broker dealer, Needham Company, LLC. The successful applicant will be responsible for advising in all compliance matters pertaining to the operations of all public and private funds under management and will also be assisting with certain rules/regulations as they relate to research, banking, trading and sales on the broker-dealer side of the business.  The candidate will perform other regulatory and legal functions and may be assigned special projects as required by senior management.  In addition to the aforementioned, the candidate should possess a BA or BS in finance, accounting or related field; 2-5 plus years experience in Compliance and the required industry licenses (Series 7) and the ability to pass the Series 55, 24 87 within one year of hire.  The candidate should also possess outstanding attention-to-detail, follow up skills and possess excellent written and verbal communication abilities.