The compliance associate role supports firm-wide compliance activities to ensure that business operations, policies, and procedures are aligned with applicable regulatory requirements and internal standards.
Job Responsibilities:
- Owns the end-to-end employee registration and licensing process with regulatory bodies, including FINRA and NFA (e.g., CRD, NFA BASIC), including onboarding, maintenance, amendments, and terminations
- Manages the review of employee compliance with regulatory requirements and Firm policies, including tracking attestations and required filings
- Manages administration of compliance databases and systems.
- Assists in tracking and documenting compliance projects, registration requirements, and compliance affirmations
- Works closely with various departments within the Firm to coordinate analysis and resolution of compliance matters
- Coordinates external regulatory training programs
- Assists with administration of compliance databases and systems
- Assists in internal and external examinations, including follow-up actions
- Keeps abreast of internal compliance rules and applicable regulatory requirements
- Performs other compliance duties as necessary
Basic Qualifications:
- 2+ years of relevant experience; compliance experience preferred
- Bachelor’s degree, preferably in accounting, finance, economics, or a related discipline
- Working knowledge of key regulatory bodies, including FINRA and NFA, strongly preferred
- Working knowledge of FINRA CRD and NFA BASIC systems
- Excellent analytical skills and strong attention to detail.
- Strong written and verbal communication skills.
- Ability to work both independently and collaboratively in a team environment
- Experience working IT service management platforms (ServiceNow)
- Experience with Microsoft Office Suite products including SharePoint
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