Retail Compliance Associate Jobs

Time Management: Adhere to daily time tracking requirements, ensuring all tasks and responsibilities are accounted for.

Insurance Maintenance: Oversee and update the company's insurance records, ensuring timely renewals, accurate invoice tracking, and effective billing management.

Great Ongoing Learning and Development opportunities offered for certifications and tuition reimbursement

Regulatory Compliance: Manage the company's state registration and filing necessities. This includes keeping track of renewal dates and ensuring timely payments.

0-1 years understanding of accounting and finance as it relates to financial reporting and budgeting.

Strong analytical, critical thinking and problem-solving skills.

High attention to detail, high efficiency, and excellent time management skills.

Excellent project management and organizational skills, including ability to work on multiple projects simultaneously in a fast-paced and dynamic environment.

Experience using Chainalysis or Elliptic.

Advanced research and analytical skills.

Expert oral, written, and interpersonal communication skills with the ability to distill and present complex information accurately and clearly.

This is a remote-first position which may require some infrequent travel to our Lancaster, PA office location.

· Risk management experience is a plus

· Create reports for senior management and external stakeholders.

· Strong knowledge of BSA, AML, Reg E rules and regulations

No 3rd party applicants (cannot work C2C), please

· Assist in establishing, maintaining, and testing a complex compliance program for a fintech startup.

· Create and implement productive and efficient company policies and guidelines.

Responsibilities include but are not limited to:

Assist with developing, drafting and maintaining compliance policies and procedures outlining firm requirements, regulations and best practices

Coordinate with internal stakeholders to assist with new business initiatives and regulatory requirements

3-5 years of compliance, legal or regulatory experience at a registered firm,

Excellent verbal and written communication skills

Create and deliver compliance trainings

Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and Word

Must be able to demonstrate strong organizational and problem-solving skills with attention to detail

Must be able to demonstrate strong oral and written communication skills

Drafting regulatory policies and procedures

Analyzing clients’ trading practices, including evaluating personal securities transactions

Ensuring compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures

Analytical, technical, and technology skills with proficiency in basic office software, including Excel and Word

Must be able to demonstrate strong organizational and problem-solving skills with attention to detail

Must be able to demonstrate strong oral and written communication skills

Ability to analyze industry regulations; adapt and develop policies and procedures to meet compliance requirements

Conducting forensic testing and verification of internal controls for clients to comply with prevailing rules and regulations

Assisting with managing clients’ registrations with applicable regulators, including the SEC and CFTC

Prior work experience in compliance (preferably securities)

Responsibilities include but are not limited to:

Performing daily trade reviews using proprietary systems and databases

Assisting with maintaining Compliance policies and procedures

Assisting with various audits, regulatory inquires and filings

Conducting monthly testing of client confirmations and best execution reviews under supervision

2-5 years’ experience in an asset manager or law firm with experience supporting private funds

Strong knowledge of the Investment Advisors Act of 1940 and Investment Company Act 1940

As an Associate, this individual with assist in the executive of the firm's BDC Compliance program.

Executing on generalist tasks as part of the 'Business Development Company' Compliance division

Provide compliance training to the wider business and relevant stakeholders

Align with the wider team on projects associated with US Regulatory Compliance

Strong interest in real estate and/or investment management

Strong academic credentials from an undergraduate or JD education level.

2-5 years of prior experience in private equity compliance, legal, or risk-related field within the financial services industry.

Excellent written and verbal communication skills

Familiarity with regulatory requirements and industry best practices

Competitive salary commensurate with experience

Evaluate servicing requirements, policies, and procedures to identify critical areas of risk for review.

Define the scope of transactions and select samples using appropriate sampling techniques.

Collect, analyze, and review supporting documents, conducting thorough transaction testing.

Create comprehensive workpapers and document findings from the review process.

Collaborate in the creation of compliance reports.

Contribute to the development of compliance-related presentations for real estate client.

3+ years of experience within marketing review

Previous experience supporting marketing communications for a broker dealer

Great communication skills - both verbal and written

We are seeking an experienced Compliance Marketing Associate for a broker dealer client.

Oversee business regarding marketing materials and marketing communications for broker dealer.

Review marketing materials and ensure consistency with US and International regulatory standards

Experience writing and implementing policies and procedures, management information and reports

Assist with the development and maintainenance of management reporting for Boards of Directors, CEOs and other senior stakeholders at the firm

4-8 years’ experience in and knowledge of CFTC, SEC, NFA swap dealer regulations

Product knowledge and regulatory experience within the OTC derivatives and securities-based swaps businesses a plus

Strong interpersonal skills and the ability to manage processes and drive change and accountability with key internal stakeholders

Effective communicator with senior stakeholders both verbally and written, including experience delivering trainings

6+ years of direct or indirect management experience

Certification/training in applicable quality management disciplines preferred

Experience with cGMP, manufacturing, and testing requirements as they relate to biologics

Define the Compliance strategy to support business requirements.

Sets the requirements for the Self Inspection Program

Develops and manages training for Auditors, and external inspection support staff

Your education, experience and skills

Want more details? Check out our Symetra Benefits Overview

Bachelors in Finance, Accounting, Economics or Law-related field.

1+ years in Investments, Audit, Technology or Finance related field.

Excellent written and verbal communication skills.

Monitor and perform surveillance testing on SIMREI policies and procedures to determine effectiveness of related control processes.

Required Education, Experience and Certificates, Licenses, Registrations

Preferred (but not required) education or skills for this role are

Manages multiple tasks effectively by balancing high productivity with excellent service quality

Collaborates with and openly shares knowledge with colleagues.

Presents information and responds to questions from managers, clients, and internal customers.

Bachelor’s degree in a business-related field or industry experience

Minimum (2) years of legal and/or compliance-related experience preferred

Knowledge of Microsoft Office suite

Effective prioritization of multiple tasks and willingness and initiative to seek out and take on increasing responsibilities

Conducting periodic testing of key business policies, procedures, and regulatory obligations

Preparing formal reports summarizing test results and recommended opportunities for enhancement

Assisting the firm in developing and implementing policies and procedures across reinsurance and investment compliance landscape

· 3+ years of experience in a broker/dealer compliance role.

· Experience in general broker/dealer compliance

Broker Dealer looking to hire a Compliance Associate to join growing team.

· Focus on outside Business Activity, Private Security Transaction, and similar disclosures.

· Employee personal trading monitoring/surveillance

· BA or BS degree required.