Compliance Associate

4 weeks ago

New York, United States Maxim Group LLC Full time

Compliance Associate


Maxim Group LLC ● 300 Park Avenue, New York, NY


Maxim Group is a leading, diversified financial services company seeking an entry level Compliance Associate to help implement and enforce Firm policies and procedures and conduct surveillance with the goal of achieving compliance with securities industry rules and regulations. The job function generally includes reviewing exception reports, compiling relevant data, analyzing the results, escalating potential issues to appropriate personnel, and providing input to management about potential corrective action plans designed to address issues that are identified.

Primary Responsibilities:

• On a daily basis, work effectively and quickly with investment banking personnel, salespeople, and management

• Administer the Firm’s platform used to market private placement offerings

• Control the distribution of offering materials to appropriate parties

• Review and track investor subscription paperwork

• Ensure the marketing of private placement offering is in compliance with SEA and FINRA rules and regulations

• Maintain records regarding information barriers and the handling of material, nonpublic information

• Maintain the Firm’s watch and restricted securities lists

• Be knowledgeable about Regulation Best Interest (“Reg BI”), Regulation D, and information barriers

• Be able to respond quickly to time-sensitive requests

• Review electronic communications

• Make non-sales calls to clients to confirm basic account information and related information

• Assist in the development of policies and procedures that reflect changes in Firm business and industry regulations

• Provide education and guidance to employees regarding Firm policies

• Handle and create written responses to inquiries from various regulatory organizations

• Research and monitor new and existing legislation to ensure the Firm’s policies and procedures are up-to-date and follow all applicable laws and regulations

Required Skills:

• Must have a bachelor’s degree from an accredited university

• Must be willing to work in person Monday through Friday at the Firm’s 300 Park Avenue office

• Excellent written and oral communication skills with the ability to present

• Accuracy, attention to detail, and ability to thrive in a fast-paced, deadline-driven, environment

• Highly disciplined individual, self-motivated, delivery-focused with the ability to work independently and multi-task

• Strong Microsoft Office skills with proficiency in Excel, Word, and PowerPoint

• Excellent organizational skills

• Must have a genuine interest in learning about the business

• Must have the ability to pass securities licenses exams

Preferred Skills:

• One year experience in the financial services industry with knowledge of financial products and the markets

• The SIE or Series 7


Salary range 50k-55k

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