Advisory Firm (Broker-Dealer)

Compliance Associate , New York, NY

Compliance Associate (New York, NY):  Our client, a growing advisory and banking business is looking for an Associate in the Legal and Compliance Department to provide broker-dealer compliance support to the firm’s investment banking business.  This role will cover the firms businesses in the US and Brazil.  This person will report directly to the General Counsel and have exposure to the entire compliance banking compliance program. 


Key Points:

·      This is a unique opportunity for someone young in their career to touch on all aspects of the compliance program, while also having exposure to senior management

·      Firm is VERY stable and has been around for over 30 years  

·      Great quality of life  

·       Position is opendue to their continued growth and will have the ability to make an impact on the overall business 


·      Prepare and update compliance policies and procedures; prepare and file regulatory filings and response

·      Administer the firm’s personal trading systems and monitor employee personal trading activities; monitor updates in regulatory requirements 

·      Maintain the firm’s insurance coverage and conduct conflicts checks; conduct annual internal compliance audit and compliance trainings

·      Implement anti-money laundering and KYC program; prepare group compliance reporting

·       Assist in the developmentof cybersecurity policies; assist with responses to litigation document production requests


·      4+ years of relevant compliance experience, JD is preferred but not required; proficient in Microsoft Office (Excel, Word, Outlook)

·      Strong communication skills and time management skills; ability to communicate effectively with all levels of management

·      Must be able meet multiple deadlines in a high pressure environment with limited supervision; team oriented mindset as this person will be dealing with highly confidential business maters

Job Reference #1340

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