Compliance Associate

1 week ago


New York, New York, United States Muriel Siebert & Co Inc Full time
Job Description

Muriel Siebert & Co Inc is seeking a highly motivated and detail-oriented Compliance Associate to join our team. As a Compliance Associate, you will play a critical role in ensuring that our business activities are conducted in accordance with regulatory requirements and industry standards.

Key Responsibilities:
  • Assist with the implementation and execution of compliance activities, including daily report reviews and inquiries.
  • Conduct compliance testing and reviews, and produce reports thereon.
  • Ensure that business areas meet and maintain compliance requirements.
  • Support the preparation of reports.
  • Perform other duties as required.
Desired Qualifications and Attributes:
  • Series 7 license required.
  • 2 years Compliance Experience.
  • Series 24 and 63 preferred or willing to acquire within 3 months of hiring.
  • Experience with MS office, especially Excel, Word, and Outlook.
  • Excellent organizational and communication skills (both written and oral).
  • Strong time management skills and the ability to multitask.
  • Ability to communicate effectively with internal teams and our clients.
  • Professional, confident, and positive demeanor that stands out.
About Siebert Financial Corporation:

Siebert Financial Corp. is a holding company that conducts its securities brokerage business through its wholly owned subsidiary, Muriel Siebert & Co., Inc. The company also has business lines in insurance, investment advisory, and financial technology development through its various subsidiaries.

Siebert and its affiliated companies are committed to creating a diverse working environment employing and promoting without regard to race, religion, color, national origin, sex, gender identity, disability, age, veteran status, and other protected status as required by applicable law.



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