We are partnering with a leading global investment firm to appoint a Regulatory Compliance Associate, based in New York. 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 Responsibilities:- Review marketing materials, investor communications, press releases and social media content
- Conduct electronic communications surveillance
- Prepare and support SEC and FINRA regulatory filings
- Support licensing and registrations for regulated personnel
- Develop, update and implement compliance policies and procedures
- Execute compliance monitoring and testing
- Develop and deliver employee training
- Administer the firm’s electronic compliance training platform
- Monitor regulatory developments and assess their impact on the business
Requirements:- 2 - 4 years of compliance experience within financial services
- Direct compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms
- Hands-on marketing and communications review experience
- Working knowledge of FINRA rules and the Investment Advisers ActSeries 7 and 24 licenses, or willingness to obtain them within six months
- Strong judgment, problem-solving and communication skills
- Ability to work independently and manage multiple responsibilities
- A collaborative and adaptable approach suited to a lean team
