A dynamic Trading firm is on the lookout for a dedicated Compliance Associate based in the heart of NYC. As a member of their compliance team, you'll be instrumental in crafting, implementing, and enhancing the framework of policies and procedures to ensure the firm's full compliance with legal and regulatory standards.
Responsibilities
- Monitoring and surveilling trading activities
- Keeping abreast of regulatory changes and industry standards
- Drafting and documenting updated policies
- Overseeing regulatory reporting and communication, and managing current policy administration
Qualifications
- Bachelor's degree or equivalent
- 4 years of relevant experience in a regulated environment
- Exceptional organizational skills with keen attention to detail
- Understanding of critical compliance domains and proficient in spreadsheet utilization
