Core Compliance Analyst/Associate
August 10
🏢 In-office - Manhattan
Description
• The Compliance Analyst/Associate will be responsible for assistance in implementing and maintaining the firm’s compliance policies and procedures • Assist with identifying, classifying, and resolving potential conflicts of interest across the firm’s subsidiaries • Assist with, filing regulatory reports and in responding to regulatory inquiries and exams
Requirements
• At least 2-5 years of experience at an SEC registered investment advisor or FINRA member firm • Experience using a web-based compliance management platform/solution (i.e., ComplySci) • Highly organized and able to manage multiple deliverables • Familiar with drafting and reviewing policy and procedures across various compliance functions • Ability to work with various business units to create tailored compliance solutions • Takes ownership of projects and works well independently • Bachelor’s Degree
Benefits
• Competitive base salary and discretionary bonus • Flexible Time Off (i.e. unlimited paid vacation days) • Company paid Holidays (11) • Company paid sick leave • Company-paid health and protective benefits for employees, partners, and other dependents • 3% 401(k) company contribution • Generous paid Parental Leave • Free virtual coaching and counseling sessions through Ginger • Opportunities to learn about the Crypto industry • Free daily snacks in-office • Smart, entrepreneurial, and fun colleagues • Employee Resource Groups
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