Compliance Specialist

2 weeks ago


New York, New York, United States Beacon Hill Full time
Compliance Associate Job Description

Beacon Hill Legal is seeking a highly skilled Compliance Associate to join our team in the Manhattan office of a financial trading firm. This role offers a competitive salary range of $140,000 to $170,000.

The ideal candidate will have at least 4 years of experience in a regulated trading company, with expertise in working with regulatory agencies, '40 Act compliance, and trade surveillance.

Key Responsibilities:
  • Monitor and analyze firm trading activity to ensure compliance with regulatory requirements
  • Develop and maintain policies and procedures to ensure regulatory compliance
  • Manage regulatory reporting, examinations, and communications with relevant agencies
  • Provide training and onboarding for staff on compliance matters
  • Manage exchange memberships and ensure compliance with relevant regulations
  • Advise on compliance matters and provide guidance to the team
  • Stay up-to-date with regulatory developments and best practices in the industry
Requirements:
  • 4+ years of compliance experience in a regulated trade environment
  • Experience with '40 Act compliance is highly preferred

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.

Company Profile:

Beacon Hill was 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.

Our niche brands offer a complete suite of staffing services to emerging growth companies and the Fortune 500 across market sectors, career specialties, and industries.

Learn more about Beacon Hill and our specialty divisions by visiting our website.


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