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Compliance Associate

  • Location: Southwestern, CT
  • Type: Perm (Contingency)
  • Job #33702
  • Salary: $100,000

Job Overview – Compliance Associate:
As a Compliance
Associate, you will play a crucial role in supporting the compliance program and ensuring adherence to regulatory requirements. This is an exciting opportunity to gain valuable experience in the financial services industry and contribute to the growth of a firm.

Compensation: $100,000.00 – $150,000.00 + bonus
Location: Southwestern, CT

Responsibilities of the Compliance Associate include:

  • Reviewing and evaluating compliance matters within the organization
  • Monitoring compliance with SEC rules and the company's Policies and Procedures
  • Day-to-day compliance functions, including documentation, record-keeping, and assembling compliance reports
  • Providing oversight for the firm’s web-based compliance portal
  • Conducting ongoing testing of policies and procedures, including forensic testing
  • Maintaining the compliance calendar and assisting with regulatory filings
  • Conducting anti-money laundering (AML) and know-your-customer (KYC) checks
  • Assisting in other aspects of compliance, such as portfolio surveillance

Qualifications as the Compliance Associate include:

  • Bachelor’s Degree from an accredited college/university
  • 3-7 years of relevant compliance experience at an Investment Adviser, Broker-Dealer, or related firm
  • Effective communication, listening, and organizational skills
  • Ability to handle and prioritize multiple tasks in a time-sensitive environment
  • Detail and process-oriented
  • Ability to manage projects and meet deadlines
  • Proficient with Word, Excel, and PowerPoint
  • Proactive, energetic, self-assured professional with high personal integrity

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

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Job ID: 33702