Compliance Associate

  • Competitive/Depends on experience
  • New York, NY, USA
  • Permanent, Full time
  • Non-disclosed
  • 23 Sep 16

Well established broker/dealer has immediate opening for a Compliance Associate in its New York office to help support the surveillance of all daily equity trading activity as well as play a role in monitoring other areas within firm.

The successful candidate will handle all aspects of the trading platform with regards to monitoring and surveillance of firm equity trading as well as vendor management and set up.  He/she will be working with Traders and/or Operations to deal with questions and issues and thus need a working knowledge of FINRA rules and regulations. The candidate will participate in regulatory inquiry responses and audits/exams.  The candidate should possess at least 2 years of compliance/equity trade surveillance experience. Knowledge of equity trading, block market making, and asset management is a plus.  Proper licensing will be required to obtain if not already possessed.