Junior Compliance Associate recruitment

A boutique broker-dealer is seeking a junior compliance associate to join their Legal Compliance department. This person will have direct contact with both the Chief Compliance Officer and General Counsel.

Responsibilities will include:

- Assisting in trade reporting and employee trading activities

- Prepare for branch audits

- Assist senior executives in preparation for regulatory exams

- Provide administrative support to the General Counsel

Requirements:

- Familiarity with OATS

- Experience with TRACE reporting

- Series 7 a plus

Please send your resume/CV to Larry Florio at Larry.Florio@roberthalf.com