Associate, Compliance Advisory

We are currently seeking a motivated and enthusiastic Compliance Advisory Associate who will report to the Compliance Chief of Staff. The Compliance Associate is responsible be for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes

Responsibilities

• Assume responsibility for the advice and guidance to business on relevant regulatory obligations and requirements both proactively and in response to queries
  
• Develop strong working relationships with business line leadership
• Develop, maintain, and monitor a dashboard of key compliance metrics, based on key compliance risks, for each business line and make weekly reporting of metrics to business line heads, the Chief of Staff, and CCO. Report metrics to other departments within the organization as needed
• Maintain all business line compliance policies, and procedures, including documentation alignment, amendments, control re-writes/reviews, etc.
• Provide input into the Compliance Risk Assessment (CRA) and Independent Testing Programs
• Monitor and advance CRA RAU Corrective Action Plans
• Track and monitor regulatory developments and changes and update compliance policies and procedures as necessary
• Conduct in-person/live trainings with business line staff and Compliance colleagues related to regulatory updates, new products, compliance key risks, compliance policies and procedures (specific to the business lines), etc.
• Perform compliance monitoring and surveillance activities relating to GGC & GGCI including the monitoring of high-risk counterparties
• Work closely with the AML/KYC Team and provide input into AML/KYC processes
• Work with Compliance staff in other jurisdictions to ensure compatibility and cohesion with firmwide policies and procedures
• Work closely with other members of the Compliance Team to provide back up coverage for other business lines as required
• Co-ordinate and manage any ad-hoc projects that arise

Requirements

• Bachelor’s degree in Law/Accounting/Finance or related discipline. Advanced degree preferred

• At least 3-5 years experience in Compliance, preferably in a FINRA member firm or SEC regulated organization
• Quick learner who can adapt well to a fluid regulatory and business environment.

• Excellent written and oral communication skills including conflict management skills, and experience interacting with business side and senior management

• AML Certification (ACAMS) or other AML / Compliance certification preferred

• FINRA Series 7 required or must be obtained within six months of hire

Benefits

• Comprehensive health, vision, dental and FSA benefits
• Flexible time off