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Compliance Associate

  • Job type: Permanent
  • Location: New York
  • Salary: US$80000 - US$100000 per year
  • Job reference: 186241/001_1539900517
  • Sector: Selby Jennings, Compliance
  • Date posted: 18/10/2018

My client is seeking a motivated compliance Associate to join their New York Office. As a part of their legal and Compliance department, the primary function of this Compliance Associate will be to assist in the reviewing and approving process of marketing materials and communications. In addition this Compliance Associate will also assist in the administration of the firm's personal trading policy and electronic communications reviews.

Major Responsibilities/ of the Compliance Associate:

  • File marketing materials with FINRA as required

  • Performs timely review and approval of all marketing materials and communications utilizing AdMaster

  • Maintain marketing material review system (AdMaster) as necessary (i.e. workflows, disclosures, profiles, etc.)

  • Assist with the automated employee surveillance review system, review exceptions flagged and maintain and code lexicons and rules in the system

  • Aid with periodic audits, risk assessments and compliance reviews

  • Conduct OFAC/ SDN checks of employees, clients, vendors and other business partners

  • Draft and update policies and procedures; update compliance manuals as necessary

  • Review RFPs, due diligence questionnaires and other client communications

  • Assists in the administration of the firm's Code of Ethics program, including personal trading, gifts and entertainment, outside business activities and political contributions utilizing the automated Code of Ethics reporting system

  • Assist with FINRA licensing, including registration of associated persons and ongoing continuing education

  • Perform other compliance-related responsibilities and special projects as needed

Minimum Requirements of Compliance Associate:

  • Bachelor's degree and minimum 3 years compliance experience

  • Series 7, 24 licenses preferred or must be willing to obtain within 6 months of hire

  • Knowledge of Investment Adviser and Broker Dealer regulations

  • Basic knowledge of Marketing and Regulatory Compliance regulations and review of marketing materials

  • Proven strong verbal and written communication skills and good standard of computer literacy

  • Team player with the ability to partner with colleagues across the firm and confidence to work with senior members of staff

  • Proficient in Microsoft Office; experience with Admaster, PTA and Global Relay is a plus

  • Ability to manage priorities and handle multiple projects simultaneously

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