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Compliance Associate

2 months ago

Rochester, United States Emerge Full time

Emerge is actively recruiting for a COMPLIANCE ASSOCIATE with a fantastic financial advisory client firm of ours. Our Compliance Associate will be responsible for supporting a dually registered (Broker-Dealer and Investment Adviser) firm’s Compliance department. The employee will assist in performing day-to-day functional tasks related to ensuring compliance with all applicable rules and regulations within our industry. There may be additional opportunities to assist with special projects and perform other duties across departments such as Operations as necessary.


Duties & Responsibilities:

· Review and approval of new account openings and requests related to current client accounts

· Assist with employee licensing requirements and annual renewals

· Monitor and review employee communications (email, text message, etc.)

· Oversight of the firm’s Compliance Calendar to ensure timely adherence to regulatory requirements

· Support in monitoring and upholding the firm’s Code of Ethics

· Collaboration on vendor due diligence processes

· Support in regulatory examinations and handling of other regulatory matters as necessary

· Assistance in the preparation and filing of regulatory filings such as 13F/13Greports and complaint filings

· Administer and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates, help implement policies and procedures to address relevant changes

· Understand, maintain and update the firm’s Written Supervisory Procedures(WSP) and internal policies

· Facilitate all continuing education requirements for employees

· Assist with tasks related to Options and MSRB rules


Qualification Requirements:

· Bachelor’s Degree or equivalent experience

· Valid FINRA Securities Industry Exam (SIE), Series 7TO, Series 24, and Series 66 Exams

· Minimum of 2-4 years of experience with Compliance or Risk Management with experience in regulated financial institutions and operational controls

· Ability to manage several projects and appropriately deal with individuals at all organizational levels in various roles

· Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline-driven environment, and able to solve complex problems in a collaborative manner

· Flexibility and openness to assume different tasks and responsibilities within a small team


If you are qualified for this position, please click "apply now". Thank you in advance, however, only qualified candidates will be contacted.


Who is Emerge? We are a global talent solutions company working with clients all over the world. We deliver managed sales, services, marketing, and business solutions to our clients. We are committed to your success, working quickly and efficiently to provide tangible, measurable results.