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Compliance Associate Jobs

Company

Robert Walters
Address New York City Metropolitan Area, United States
Employment type FULL_TIME
Salary
Category Venture Capital and Private Equity Principals,Financial Services,Investment Management
Expires 2023-07-27
Posted at 10 months ago
Job Description

Robert Walters has partnered with partnered international banking and wealth management firm looking to bring on a Compliance Associate to their NYC office.


Responsibilities include but are not limited to:

  • Regularly liaising with foreign affiliates
  • Assisting with various audits, regulatory inquires and filings
  • Conducting monthly testing of client confirmations and best execution reviews under supervision
  • Assisting with Onboarding and AML/KYC
  • Assisting with Personal Account Dealings record-keeping
  • Assisting with maintaining Compliance policies and procedures
  • Maintaining internal Compliance records pertaining to clients and personnel
  • Performing daily trade reviews using proprietary systems and databases
  • Assisting with client inquiries and client mailings


Requirements:

Minimum:

  • Microsoft Office Word, Excel, and PowerPoint
  • Prior work experience in compliance (preferably securities)
  • Bachelor's degree required

Ideal:

  • Series 7


This will be a hybrid role ( 4 days in office) and is budgeting between $85,000 - $110,000 on the base with a generous bonus package.


Due to the high volume of applications we receive, we are unable to respond to every submission.