Compliance Associate

Our client is seeking a Compliance Associate to join its esteemed broker-dealer compliance division in New York, NY. As a Compliance Associate, you will assume a vital position in ensuring that the organization’s fundraising and capital market activities consistently adhere to the highest legal and regulatory standards.

Key Responsibilities:
In the capacity of Compliance Associate, you will become immersed in the daily functions of a high-caliber compliance team devoted to upholding exemplary standards throughout all facets of fundraising and capital markets activity. Your responsibilities will encompass close cooperation with colleagues from business, legal, and compliance backgrounds as you review communications, prepare essential regulatory submissions, and facilitate licensing processes. You will be entrusted with formulating policies that not only comply with current regulations but also embody industry best practices while leading training initiatives that empower employees at every organizational level. By maintaining vigilance regarding regulatory changes, you will help ensure the organization remains at the forefront of industry developments. Success in this role requires technical acumen as well as refined communication skills, a collaborative spirit, and meticulous attention to detail in all undertakings.

• Conduct comprehensive reviews of marketing materials and investor communications to ensure full alignment with prevailing regulatory requirements and internal governance policies.
• Evaluate firm communications, including press releases and social media content, for adherence to applicable legal standards and industry best practices.
• Undertake ongoing surveillance of communications across multiple channels to identify potential compliance risks or breaches promptly.
• Prepare precise and timely regulatory filings following the guidelines established by relevant authorities.
• Support the licensing and registration processes for broker-dealer personnel, ensuring all documentation satisfies FINRA stipulations.
• Develop, revise, and implement robust compliance policies and procedures that reflect evolving business imperatives.
• Assist in executing rigorous testing protocols for existing policies and procedures to confirm their effectiveness and compliance.
• Design, deliver, and manage employee training initiatives utilizing electronic platforms to promote widespread awareness of compliance responsibilities.
• Monitor regulatory developments that may influence broker-dealer operations, providing clear assessments regarding their potential impact on business practices.

Key Requirements:
To excel as a Compliance Associate, you will draw upon substantive experience acquired from prior roles in financial services compliance, together with an earnest commitment to supporting principled business conduct. Your interpersonal skills will enable you to foster trust-based relationships across departments, while your analytical disposition ensures thoroughness in all matters. You are adept at interpreting complex regulations such as those promulgated by FINRA or under the Advisers Act, adapting efficiently as new requirements arise. Your background encompasses drafting or refining policy documents as well as facilitating engaging training sessions for colleagues. Above all else, your dependability, sensitivity towards differing viewpoints, and dedication to collective objectives render you an invaluable contributor within any collaborative team setting.

• A minimum of two years’ professional experience in compliance within the financial services sector, evidencing your familiarity with industry-specific complexities.
• Demonstrated ability to collaborate harmoniously within teams whilst managing individual responsibilities as circumstances require.
• Outstanding written and verbal communication skills, enabling you to articulate complex information clearly across varied audiences.
• Meticulous attention to detail, coupled with sound analytical abilities, facilitates navigation through nuanced regulatory environments.
• Familiarity with the Advisers Act alongside FINRA rules is highly desirable for this appointment.
• Possession of FINRA Series 7 and Series 24 licenses or a willingness to obtain these credentials within six months of commencement is expected.
• Experience in preparing regulatory filings accurately under stringent deadlines is considered advantageous.
• Proven capability in developing or updating compliance policies and procedures tailored for financial organizations.
• Confidence in delivering employee training sessions via digital platforms or electronic tools.

What sets this company apart:

• This institution distinguishes itself as one of the world’s preeminent alternative asset managers not solely due to its considerable scale but also owing to its steadfast commitment to cultivating an inclusive workplace where each individual’s perspective is respected.

What's next:
If interested in this position, please contact Robert Moseman at +1 332 205 3879 or Robert.Moseman@robertwalters.com