Compliance Associate
Beacon Hill Legal is searching for a Compliance Associate for a financial trading firm's Manhattan office. This role has a salary ranging from $140,000 to $170,000.
This person should have at least 4 years of experience in a regulated trading company. This person should be experienced in working with regulatory agencies, '40 Act compliance, and trade surveillance.
Responsibilities:
- Surveillance and monitoring of firm trading activity
- Documenting and updating policies
- Managing regulatory reporting, examinations, and communications
- Training and onboarding staff
- Managing exchange memberships
- Advising on compliance matters
- Monitoring regulatory developments and best practices
Qualifications:
- 4+ years of compliance experience in a regulated trade environment
- 1940 acts experience highly preferred
If interested and have the experience, please submit your resume! (Applications without a resume will not be considered)
Beacon Hill is an Equal Opportunity Employer that values the strength diversity brings to the workplace. Individuals with Disabilities and Protected Veterans are encouraged to apply.
California residents: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.
If you would like to complete our voluntary self-identification form, please click here or copy and paste the following link into an open window in your browser: https://jobs.beaconhillstaffing.com/eeoc/
Completion of this form is voluntary and will not affect your opportunity for employment, or the terms or conditions of your employment. This form will be used for reporting purposes only and will be kept separate from all other records.
Company Profile:
Founded by industry leaders to set a new standard in search, career placement and flexible staffing, we deliver coordinated staffing solutions with unparalleled service, a commitment to project completion and success and a passion for innovation, creativity and continuous improvement.
Our niche brands offer a complete suite of staffing services to emerging growth companies and the Fortune 500 across market sectors, career specialties/disciplines and industries. Over time, office locations, specialty practice areas and service offerings will be added to address ever changing constituent needs.
Learn more about Beacon Hill and our specialty divisions, Beacon Hill Associates, Beacon Hill Financial, Beacon Hill HR, Beacon Hill Legal, Beacon Hill Life Sciences and Beacon Hill Technologies by visiting www.bhsg.com.
We look forward to working with you.
Beacon Hill. Employing the Future (TM)
