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Compliance Associate

  • Location: Stamford, CT
  • Job Type: Direct Placement
  • Ref No: 19-04818
  • Date: August 06, 2019
  • Job title:

Alyssa Podbielski

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Job Description - Compliance Associate

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.
  • Client licenses are highly desirable.

 




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