Summary: A boutique investment bank and asset management firm, headquartered in Midtown New York City, is looking for a Compliance Associate. You will serve as a critical member of the organization, supporting its larger objectives by: assisting with regulatory filings, advising the front line and business leaders, and supporting the compliance programs in additional lines of business.
The Compliance Associate will be responsible for:
- Report directly to the Chief Compliance Officer;
- Collaborate closely with regulators;
- Work directly with traders and bankers;
- Craft and maintain compliance supervisory procedures;
The Compliance Associate should have the following qualifications:
- Series 7; Series 24, 79, 86, 87 as a bonus;
- Bachelor's degree in related field;
- Broker-dealer compliance background;
Interested in this Compliance Associate role? Apply for immediate consideration.