Compliance Analyst/Associate

New York, NY



  • Review marketing materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs.
  • Conduct e-mail review for Registered Representatives and follow-up as necessary
  • Assist with Firm’s Licensing and Registration Program.
  • Provide guidance on firm policies and procedures.
  • Assist with regulatory reporting requirements.
  • Provide compliance guidance relating to new product development initiatives; including identifying potential compliance risks and ensuring that compliance processes and systems are developed, implemented and tested.
  • Help develop and conduct training and education to staff relating to policies and procedures.




  • Minimum of 2 years of industry experience, including compliance experience relating to applicable rules and regulations, and review of private fund marketing material.
  • FINRA Series 7 required, Series 24 preferred
  • Candidate ideally functioning currently as a compliance officer and be accustomed to working independently.
  • Candidate must be able to work well in a team structure involving both business and support functions.
  • Have experience dealing with regulatory changes and policy implementations relating to such changes.
  • Demonstrated analytical ability, strong written and oral communication skills. Excellent interpersonal skills; ability to interact with all levels of staff including senior management.





Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 12/2/2020
Salary $75,000 - $105,000 + bonus

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