Compliance Associate - Elite Investment Bank

Compliance Advisor - Elite Investment Bank***** New York, New YorkIf you are looking to take your compliance career to the next level, there is an exciting opportunity to join a prestigious investment bank known for its industry leadership and exceptional work culture. As a Compliance Associate, youll play a critical part in ensuring the firms operations align with SEC/FINRA regulations and work closely with seasoned mentors who have compliance fields for decades. Youll be part of a collaborative team that supports strategic decision-making, mitigates risks, and ensures the business thrives in a fast-paced, high-stakes environment.**Create, implement, and execute monitoring/testing programs to ensure regulatory compliance.Complete thorough assessments of the investment bank/broker-dealers and complete reviews to address potential compliance issues.Assist in audits by providing necessary materials needed.Collaborate with internal departments to develop effective compliance strategies.**Bachelors degree2+ years of experience working in a financial institution in a compliance/regulatory space.Strong understanding of laws and regulations affecting broker-dealers, particularly in the investment banking sector.Hands-on experience conducting risk evaluations using surveillance systems and compliance tools.Ability to recite all insights gathered to superiors in an efficient way.

Created: 2025-02-27