Compliance Associate - Elite Investment Bank - Larson Maddox : Job Details

Compliance Advisor - Elite Investment Bank Location: New York, New York

If you are looking to take your compliance career to the next level, there is an exciting opportunity to join a prestigious investment bank known for its industry leadership and exceptional work culture. As a Compliance Associate, you'll play a critical part in ensuring the firm's operations align with SEC/FINRA regulations and work closely with seasoned mentors who have compliance fields for decades. You'll be part of a collaborative team that supports strategic decision-making, mitigates risks, and ensures the business thrives in a fast-paced, high-stakes environment.

Responsibilities:

• Create, implement, and execute monitoring/testing programs to ensure regulatory compliance.
• Complete thorough assessments of the investment bank/broker-dealers and complete reviews to address potential compliance issues.
• Assist in audits by providing necessary materials needed.
• Collaborate with internal departments to develop effective compliance strategies.

Qualifications:

• Bachelor's degree
• 2+ years of experience working in a financial institution in a compliance/regulatory space.
• Strong understanding of laws and regulations affecting broker-dealers, particularly in the investment banking sector.
• Hands-on experience conducting risk evaluations using surveillance systems and compliance tools.
• Ability to recite all insights gathered to superiors in an efficient way.