Compliance Associate (Fintech)

TL;DR

Compliance Associate (Fintech): Assisting in preventing, detecting, and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets Public business with an accent on maintaining standards of conduct and adherence to laws, regulations, and policies. Focus on advising on Prime Brokerage client activity and supporting regulatory requirements.

Location: New York, New York, United States

Salary: USD 85,000 - 140,000

Company

hirify.global is a leading global investment banking, securities, and investment management firm founded in 1869.

What you will do

• Provide day-to-day line Compliance coverage for the Global Banking & Markets Equities Prime Services businesses.
• Advise on how to conduct the firm’s business in a manner that complies with rules, regulations, and regulatory expectations.
• Assess new business initiatives and coordinate with interested stakeholders to support the firm’s overall governance framework.
• Develop, draft, and maintain Compliance policies and procedures outlining firm requirements, regulations, and best practices.
• Assist with regulatory examinations, audits, and inquiries.
• Evaluate compliance risks and assist in developing compliance action plans through the firm’s Compliance Risk Assessment.

Requirements

• Bachelor’s Degree.
• 2 or more years Compliance, Legal, Regulatory or Financial Services industry experience.
• Knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.).
• Excellent communications skills (oral and written) that demonstrate control-side empowerment.
• Experience leading, managing, and participating in regulatory projects and business initiatives requiring compliance input.
• Proven ability to handle and prioritize multiple tasks simultaneously and work under pressure.

Culture & Benefits

• Committed to fostering and advancing diversity and inclusion in the workplace.
• Training and development opportunities and firmwide networks.
• Benefits, wellness and personal finance offerings and mindfulness programs.