Responsibilities

The successful candidate will provide support across the firm as part of the internal control framework. Responsibilities of the Compliance Associate will include, but are not limited to:

• Supporting compliance efforts related to supervisory oversight, training, examinations, FINRA licensing and registrations, and anti-money laundering supervision.
• Working with Legal, Compliance, and Human Resources to train, promote, and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations.
• Monitoring the effectiveness of established compliance processes and controls, and recommend and implement enhancements; working in conjunction within the internal controls infrastructure to update the Firm's Written Supervisory Procedures (WSPs) based on new rules and regulations and/or process enhancements and communicating such changes simply and efficiently.
• Monitoring information barriers and general conflict of interest situations in an investment banking environment, including the performance conflict clearance and escalation.
• Providing advice on FINRA and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures.
• Reviewing and approving political contribution, trade, outside business activity, and private securities transaction requests.
• Analyzing complex situations and applying judgment to resolve issues in a timely manner with minimal supervision.
• Managing KYC process on new customers, enforcing accurate review of OFAC searches.
• Assisting with managing regulatory exams, investigations and inquiries conducted by FINRA, SEC and state regulators, coordinating with regulators, auditors, compliance personnel and management.
• Continually assessing the inherent risk of business units as well as the effectiveness of mitigating controls to minimize regulatory consequences and other operational risk.
• Integrating industry benchmarking and best practices through ongoing research, education, and industry affiliations.
• Developing and conducting compliance training, ensuring courses are compatible with regulations.

Qualifications

• Bachelor's degree.
• Minimum of 3 years of experience in compliance within the financial services industry, ideally for a SEC registered or FINRA member broker-dealer.
• Series 7 and 14 required; other regulatory licenses desired.
• Experience with mergers and acquisitions, restructuring, and private capital products to determine appropriate compliance and effective internal controls.
• Knowledge of and experience with FINRA and SEC rules.
• Experience coordinating broker-dealer regulatory exams and responses.
• High levels of ethics, integrity, and judgment.
• Completion of a profile on Suited to further assist in an evaluation of your candidacy: Creating a Suited Profile

Expected annualized base salary range: $85,000 - 110,000

The annual base salary range reflects the low and high targets of the estimated base salary range for this position. The actual base salary an employee in this role receives may vary depending on a variety of factors, including but not limited to: work location, job-related knowledge, and prior experience. The range listed reflects base salary only, and the total compensation package may include other components.