Associate Compliance Specialist NY

Compliance Advisor - Elite Investment BankLocation: New York, New York If 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, you'll play a critical part in ensuring the firm's operations align with SEC/FINRA regulations and work closely with seasoned mentors who have compliance fields for decades. You'll 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. Responsibilities: 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. Qualifications: Bachelor's degree 2+ 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: 2025-02-01