Compliance Associate

- Experience with employee compliance, personal trading is a must.

- Monitoring compliance with policies, procedures and protocols, including those in respect of personal trading, political contributions, anti-money laundering, and proprietary trading

- Maintaining compliance monitoring (and related) reports, including in respect of supervised personnel, compliance calendar, and others

- Maintaining compliance monitoring and reporting systems, including the personal trading and certifications system, restricted trading list, and others

- Assisting with the maintenance, organization and filing of compliance books & records

- Generally assisting Compliance Officers in the execution and administration of the regulatory Compliance Program

- Assistance in cooperation with and responding to regulatory inquiries and examination