Regulatory Compliance Associate
linkedinNew York, NY
Regulatory Compliance Associate
linkedinNew York, NY
today
Industries
Investment Banking and Securities IntermediationMiscellaneous Financial Investment ActivitiesPortfolio Management and Investment AdviceAbout the role
We are partnering with a leading global investment firm to appoint a Regulatory Compliance Associate, based in New York. This is a broad, hands-on role within a lean compliance function, covering marketing and communications review, surveillance, regulatory filings, registrations, testing and policy development. You will join a global platform, gain broad exposure and work closely with stakeholders not only in Compliance and Legal, but the wider business.
Key Responsibilities:
- Review marketing materials, investor communications, press releases and social media content
- Conduct electronic communications surveillance
- Prepare and support SEC and FINRA regulatory filings
- Support licensing and registrations for regulated personnel
- Develop, update and implement compliance policies and procedures
- Execute compliance monitoring and testing
- Develop and deliver employee training
- Administer the firm's electronic compliance training platform
- Monitor regulatory developments and assess their impact on the business
Requirements:
- 2 - 4 years of compliance experience within financial services
- Direct compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms
- Hands-on marketing and communications review experience
- Working knowledge of FINRA rules and the Investment Advisers ActSeries 7 and 24 licenses, or willingness to obtain them within six months
- Strong judgment, problem-solving and communication skills
- Ability to work independently and manage multiple responsibilities
- A collaborative and adaptable approach suited to a lean team
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JOB OVERVIEW
Experience level
Senior
Location
New York, NY
Occupation
Compliance Officers
Industry
Investment Banking and Securities Intermediation
Posted
today
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