A Series B financial services start-up headquartered in NYC is looking for a Compliance Associate to join their growing team. You will help build a cutting- edge fintech market working with all teams across the company, as well as clients and customers. The compliance associate shall assist with regulatory examinations, update and develop policies and procedures, as well as assess and implement new technologies.
- 3+ years' experience in a compliance role, preferably at an investment advisor, investment bank or broker dealer
- Experience with advertising/marketing materials review
- Active Series 7 & 24 licenses
- Knowledge of FINRA, SEC, and AML rules and regulations