Compliance Associate
Compliance Associate
New York, New York
|Direct (Permanent) Full Time
|$ 140,000 - $ 170,000 per year
New York, New York
Direct (Permanent) Full Time
$ 140,000 - $ 170,000 per year
September 24, 2024
|Job ID: 485152102-RJL_1727202710
September 24, 2024
Job ID: 485152102-RJL_1727202710
Job Summary
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Compliance Associate
Beacon Hill Legal is searching for a Compliance Associate for a financial trading firm's Manhattan office. This role has a salary ranging from $140,000 to $170,000.
This person should have at least 4 years of experience in a regulated trading company. This person should be experienced in working with regulatory agencies, '40 Act compliance, and trade surveillance.
Responsibilities:
- Surveillance and monitoring of firm trading activity
- Documenting and updating policies
- Managing regulatory reporting, examinations, and communications
- Training and onboarding staff
- Managing exchange memberships
- Advising on compliance matters
- Monitoring regulatory developments and best practices
Qualifications:
- 4+ years of compliance experience in a regulated trade environment
- 1940 acts experience highly preferred
If interested and have the experience, please submit your resume! (Applications without a resume will not be considered)
485152102-RJL_1727202710
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About Beacon Hill
Beacon Hill is an Equal Opportunity Employer that values the strength diversity brings to the workplace. Individuals with Disabilities and Protected Veterans are encouraged to apply.
Founded by industry leaders to set a new standard in search, career placement and flexible staffing, we deliver coordinated staffing solutions with unparalleled service, a commitment to project completion and success and a passion for innovation, creativity and continuous improvement.
Our niche brands offer a complete suite of staffing services to emerging growth companies and the Fortune 500 across market sectors, career specialties/disciplines and industries. Over time, office locations, specialty practice areas and service offerings will be added to address ever changing constituent needs.
We look forward to working with you.
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