Compliance Associate

4 weeks ago


Rochester, New York, United States Emerge Full time
Job Overview

Emerge is seeking a highly skilled Compliance Associate to support our client's growth and ensure adherence to regulatory requirements.

The ideal candidate will possess a strong understanding of financial regulations and a proven track record of managing complex compliance projects.

Key Responsibilities
  • Review and approve new account openings and client requests
  • Assist with employee licensing and annual renewals
  • Monitor and review employee communications
  • Oversight of the firm's Compliance Calendar
  • 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
  • Assistance in preparing and filing regulatory filings
  • Development and maintenance of compliance policies and procedures
  • Continuing education requirements for employees
  • Options and MSRB rules
Requirements
  • Bachelor's Degree or equivalent experience
  • Valid FINRA Securities Industry Exam (SIE), Series 7, Series 24, and Series 66 Exams or ability to complete within 6 months of hire
  • Minimum of 2-4 years of experience with Compliance or Risk Management
  • Ability to manage multiple projects and deal with individuals at all organizational levels
  • Detail-oriented, organized, and highly proficient individual
  • Flexibility and openness to assume different tasks and responsibilities

Emerge is a global talent solutions company committed to your success. We work quickly and efficiently to provide tangible, measurable results.



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