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Compliance Associate

  • Job type: Permanent
  • Location: New York
  • Salary: Negotiable
  • Job reference: 368151/001_1567088120
  • Sector: Selby Jennings, Compliance
  • Date posted: 29/08/2019

Compliance Associate

A global investment management firm is looking for a Compliance Associate to join a rapidly growing team and be responsible for performing a number of compliance duties including but not limited to supporting with the administration of the employee personal trading policy, risk assessment, and review of marketing materials, electronic communications, RFPs, etc.

Responsibilities:

  • Review e-comms, marketing materials, RFPs, DDQs

  • Testing and monitoring of compliance policies and procedures, and personal trading activities

  • Perform risk assessments and code of ethics admin

Requirements:

  • Bachelor's Degree

  • 3-6 years of compliance experience at an investment advisor or broker dealer firm

  • Experience with code of ethics, marketing review, electronic communications review, RFPs, RFIs, DDQs, risk assessment

  • Series 7 license

  • Experience as a regulator is a plus (FINRA)

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