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Compliance Associate

  • Job type: Permanent
  • Location: New York
  • Salary: Negotiable
  • Job reference: 293311/001_1553694662
  • Sector: Legal, Selby Jennings
  • Date posted: 27/03/2019

Compliance Associate

As a Compliance Associate, you will help ensure compliance with regulations specific to investment management firms which operate across US, Chinese, European, and South American markets. You will take full advantage of your knowledge of SEC, FINRA, and other US, Chinese, and state regulatory requirements to maintain compliance within a rapidly growing international ETF firm. You'll also review policy and procedure manuals, test existing policies, monitor trades, and tackle ad-hoc projects as needed.

The Compliance Associate will:

    • Have at least 5 years of experience in Investment Management/ ETF compliance
    • Have knowledge of US, Chinese, and other foreign regulatory requirements
    • Be comfortable with all of the basic trade tools and technologies
    • Exercise strict discretion regarding confidential company matters
    • Excel both as an independent self-starter and as a communicative team-player as needed
    • Be a master of time management
  • Familiarity with SEC, FINRA, UCITS, and other US, Chinese, and EU regulations preferred
  • JD or MBA strongly preferred