Current Positions

Compliance Associate (57528)

Our client is a professional services firm. They seek a Compliance Associate to work in their Manhattan, NY office.

Responsibilities

  • Support the activities of the Firm's Consultants
  • Maintain written policies and procedures
  • Create Business and Education Continuity Plans 
  • Draft CEO Certification Reports
  • Complete Broker-Dealer Annual Reviews
  • Assist clients with FINRA Sales Practice Exams
  • File FINRA and SEC Registration Applications
  • Draw up Business Plans, Organizational Charts, etc.

Requirements

  • 3+ years of related experience
  • A familiarity of FINRA in an examination setting
  • Series 7 is preferred
  • Skilled in Advent, Excel, and Quickbooks
  • CPA preferred
 

Industry

Public Accounting

Term

Permanent

Base Salary

$65-85K

Bonus Eligible

Yes

Location

New York City, NY


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