Compliance Associate

A full-service investment bank and asset management firm focusing on technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 -3 years of compliance experience. The Compliance Associate will assist in all aspects of broker-dealer compliance as it relates to investment banking, equity research and institutional sales & trading. This is a great opportunity to learn all facets of broker-dealer and asset management compliance. The responsibilities of the positions include but are not limited to: The overall day-to-day advisement in all compliance matters pertaining to the operations of an institutional focused broker/dealer as well as a registered investment advisor that has public and private funds under management Monitoring and supervising daily equity trading, research, sales, and banking activity Designing and implementing internal controls, policies and procedures Responding to requests for information from regulatory bodies May perform other regulatory and legal functions May be assigned special projects from senior management when needed Ideal candidate will possess 1- 3 years of compliance experience. Proper licensing will be required (series SIE, 24, 16, 57, 4, etc); must be able to obtain within a reasonable time period Familiarity with some or all of the following is a major plus: CRD – form U4/U5 Firm Element Continuing Education Rule 2241 – Research Analyst & Research Reports Information Barriers & Conflicts of Interest Rule 3210, 3270, 3280 Market Making The good-faith expected salary range for the above position is $100,000- $145,000 depending on factors including but not limited to the candidate’s experience, skills, license registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance, flexible spending, commuter; and paid time-off plan.