Compliance Associate
A leading trading firm with a strong track record is seeking a Compliance Associate to join thier team, reporting to the Chief Compliance Officer directly and supporting the day-to-day management of the compliance program. The opportunity would be availble for a candidate seeking more exposure to the broad demands of a compliance program.
This includes staying abreast of any SEC, CFTC, NFA regulatory developments and assisting with the improvement and implementation of company policies. Additionally, the role will assist with regulatory reporting, handling any regulatory inquiries, and regualotyr training for the organization as needed. The reol will be primarily repsonsible for coordinating employee personal trading reports and pre-clearance reports, as well as managing questionnaires as it relates to the Code of Ethics program for the firm. The candidate would also coordinate the compliance calendar, complaince manual, and work with compliance risk assessment.
Requirements:
- 3-5+ years of experience within compliance for a trading firm, hedge fund, investment management firm, or related business
- Compliance experience dealing directly with regulators and overseeing the day-to-day activities of employees
- Experience with personal trading compliance, Code of Ethics, and compliance trainings
- Experience with My Compliance Office or related complaince software is a plus
- Strong communication skills and the ability to interface with senior stakeholders directly
- Ability to work a hybird model with 3 days in the office a week
- Ability to work in a fast-paced environment with a problem solving mindset
- Advanced degress or certifications are preferred
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