Compliance Associate

New York, United States
Date Posted April 10, 2019
Category Administrative
Job Type Temporary


Our client is an investment firm looking for an Interim Compliance Associateto assist their advisors and brokers in their beautiful office space in Manhattan. This position will be directly in touch with the senior management of the firm and assist with the day-to-day workflow. The ideal candidate will be a proactive team player who is comfortable with daily tasks and seeing complex projects through to completion.

Our client manages billions of dollars for their clients and is known for encouraging original ideas and rewarding proactive employees that think outside of the box.

Compliance Associate Responsibilities:

  • Review correspondence through mail and platforms such as a CRM
  • Conduct FinCEN 314(a) review
  • Review third party letters of authorization and conduct AML/OFAC screening
  • Prepare and assist with SEC 13 filings, including 13G, 13F and 13H
  • Review marketing materials

Compliance Associate Qualifications:

  • 5+ years’ experience in Compliance
  • Series 24 license required
  • Strong time management and prioritization skills
  • Understanding of Advisers Act and FINRA rules and regulations
  • Excellent written and verbal communication skills
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