Financial Jobs NYC #20653
Compliance Associate position at a top New York City investment bank, working with a global team to interface regarding regulatory exams, audits, and inquiries worldwide. The Compliance Associate will work closely with legal and business staff in order to understand both the firm’s businesses and regulatory rules and regulations.
Compliance Associate Responsibilities:
- Research and draft accurate and persuasive responses to diverse regulatory requests
- Review trading activity, market data and surveillance reports to determine compliance with SRO rules and federal securities laws
- Identify and effectively escalate potential issues; suggest potential corrective actions to address issues
- Liaise across multiple areas of the firm as well as with securities regulators
Compliance Associate Requirements:
- 3-5 years relevant experience
- Bachelor’s Degree
- Strong relationship-building skills
- Excellent time-management, analytical, and communication skills
- Ability to multi-task effectively meet deadlines
- Knowledge of Microsoft Word and Excel
- Familiarity with IT systems
- Thorough and up-to-date understanding of business and regulatory rules and policies
- Familiarity with Access and PowerPoint preferred
This Compliance Associate contract position pays an annualized $72,000 ($34 per hour) and is expected to last at least 4 months.
