An investment bank is hiring a Compliance Associate for the Advisory team. The Compliance Associate will be a vital part of the regulatory development process within the Advisory team and help implement, write and promulgate new compliance enhancements. The Compliance Associate will:
Write and revise new policies and procedures.
Train the front office.
Conduct risk assessments.
Participate in industry events to stay abreast of regulatory trends.
The Compliance Associate will need:
At least 2 years of experience in an investment bank or global markets business.
Experience with Client, SEC and NFA regulatory obligations
Strong writing skills.
Experience applying new regulations to business and products.
Understanding of securities products and derivatives.