Regulatory Compliance Associate
Pure Search · New York, New York, United States
FULL TIMEpermanent
Job Description
We are partnering with a leading global investment firm to appoint a Regulatory Compliance Associate, based in New York.
Find out more about this role by reading the information below, then apply to be considered.
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 ResponsibilitiesReview marketing materials, investor communications, press releases and social media contentConduct electronic communications surveillancePrepare and support SEC and FINRA regulatory filingsSupport licensing and registrations for regulated personnelDevelop, update and implement compliance policies and proceduresExecute compliance monitoring and testingDevelop and deliver employee trainingAdminister the firm’s electronic compliance training platformMonitor regulatory developments and assess their impact on the business
Requirements2 - 4 years of compliance experience within financial servicesDirect compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms xzbcwsv Hands-on marketing and communications review experienceWorking knowledge of FINRA rules and the Investment Advisers ActSeries 7 and 24 licenses, or willingness to obtain them within six monthsStrong judgment, problem-solving and communication skillsAbility to work independently and manage multiple responsibilitiesA collaborative and adaptable approach suited to a lean team
Find out more about this role by reading the information below, then apply to be considered.
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 ResponsibilitiesReview marketing materials, investor communications, press releases and social media contentConduct electronic communications surveillancePrepare and support SEC and FINRA regulatory filingsSupport licensing and registrations for regulated personnelDevelop, update and implement compliance policies and proceduresExecute compliance monitoring and testingDevelop and deliver employee trainingAdminister the firm’s electronic compliance training platformMonitor regulatory developments and assess their impact on the business
Requirements2 - 4 years of compliance experience within financial servicesDirect compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms xzbcwsv Hands-on marketing and communications review experienceWorking knowledge of FINRA rules and the Investment Advisers ActSeries 7 and 24 licenses, or willingness to obtain them within six monthsStrong judgment, problem-solving and communication skillsAbility to work independently and manage multiple responsibilitiesA collaborative and adaptable approach suited to a lean team
Details
| Company | Pure Search |
| Location | New York, New York, United States |
| Type | FULL TIME |
| Niche | finance |
| Experience | permanent |