Descripción de la Oferta

The Compliance/Operations Associate will perform the following duties:

• Assist with general administration of the Firm’s compliance and operations programs
• Perform periodic compliance reviews
• Compile reports into a comprehensive package for supervisor review on a daily basis
• Conduct diligence and maintenance of account data and documentation
• Assist with implementation of new compliance policies and procedures
• Perform other compliance and operations-related tasks and special projects as needed

Candidates should have the following qualifications:

• Minimum of 3 years relevant compliance or operations experience with a Broker-Dealer
• Knowledge of FINRA, SEC and other regulatory rules and regulations
• Mathematics proficiency and problem solving
• Bachelor’s degree with strong academic performance (Finance or Accounting preferred)
• English language proficiency (oral and written)
• Proficient in Excel, Word and Outlook
• FINRA licensed (Series 7, 24 or 99 preferred)


In addition to having a superior work ethic, great attention to detail, organizational and communications skills, the successful candidate should be self-motivated, proactive and able to manage multiple priorities. Occasional travel to U.S. will be required.

Experiencia Requerida

Educación Superior

Lenguajes