8 дней назад
Compliance Senior Associate (Fintech)
130 000 - 150 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance Senior Associate (Fintech): Ensuring regulatory compliance for investment advisory activities through proxy voting oversight, trade monitoring, systemic risk reporting, and large-scale data analysis with an accent on SEC regulations, regulatory filings, and automated compliance surveillance. Focus on designing analytical tools, validating regulatory data, identifying compliance risks, and enhancing reporting frameworks for evolving requirements.
Location: New York, United States
Annual base salary: $130,000–$150,000, plus variable year-end compensation.
Company
is an investment firm whose compliance function supports trading, operations, software development, and global investment products.
What you will do
- Ensure compliance with laws and regulations applicable to investment advisory activities.
- Gather and analyze large datasets from multiple internal sources to identify risk and enhance monitoring frameworks for proxy voting activities.
- Design and implement protocols and analytical tools for trade monitoring and other regulatory requirements.
- Enhance reporting frameworks for systemic risk filings and support proxy reporting under SEC requirements.
- Support advisory reporting, privacy and cybersecurity activities, internal reviews, audits, and compliance projects.
- Collaborate with attorneys, compliance professionals, trading, operations, software development, and other internal stakeholders.
Requirements
- Bachelor’s degree in risk, statistics, or a related field.
- Four years of experience working with SEC regulations applicable to registered investment advisers.
- Experience with proxy voting rules, trade allocation requirements, regulatory reporting, and systemic risk filings such as Form 13H.
- Experience analyzing large-scale trade, position, and proxy voting data using quantitative and statistical methods.
- Experience reconciling and validating data and designing or enhancing automated compliance surveillance reports or monitoring tools.
- Experience managing compliance or regulatory reporting systems, including testing, validation, and issue resolution.
Culture & Benefits
- Fast-paced, constantly evolving regulatory environment with exposure to global investment products.
- Medical and prescription drug coverage.
- 401(k) contribution matching.
- Wellness reimbursement, family building benefits, and charitable gift matching.
- Year-end variable compensation guaranteed in the first year of hire.
Hiring process
- Submit a resume and cover letter by email and reference requisition 2026-6011 CWA.
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