Compliance Associate
Responsibilities include (but are not limited to):
- Assist in monitoring and chaperoning communications between the firm’s investment banking and research departments.
- Conduct reviews of email communications and other correspondence.
- Support record retention and documentation processes.
- Assist with the implementation and ongoing maintenance of the firm’s compliance program.
- Perform administrative duties and ad hoc projects as assigned.
- Prior compliance-related experience preferred but not required.
- Strong interest in compliance within a broker-dealer and investment banking environment.
- Proactive and self-motivated, able to work independently while contributing as part of a team.
- Excellent organizational skills and ability to manage multiple priorities.
- Strong written and oral communication skills.
- Professional presence and interpersonal skills to work across departments.
- Bachelor’s degree in business administration or other related fields.
- Series 7 license (or equivalent) – Required.
- Series 24 preferred (or ability to obtain within 3 months of hire).
- Strong working knowledge of Microsoft Office (Word, Excel, Outlook, PowerPoint).
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