If you are a Compliance Associate with experience in a trading environment, please read on!
A leading investment bank in Arlington, VA is seeking a Compliance Associate to lead compliance efforts. We are a public company with offices nationwide, the investment bank offers diversified financial solutions to several proprietary hedge funds, institutional investors, and ultra-high net worth investors. As a Compliance Associate, you will be working directly under the supervision of the Chief Compliance Officer and Deputy General Counsel to provide analytical and organizational support to the trading and compliance departments.
Top Reasons to Work with Us
1.Tons of opportunity for professional growth as a publicly traded company
2.Offers a diversified range of services to public, private and high net worth individuals
3.One of the leading investment banks
What You Will Be Doing
Track, reconcile, and report data for auditing purposes
Lead audit and compliance testing functions
Monitor all trading activity daily, including resolving and reconciling of any internal data errors
Research and communicate any issues with trading accounts as reviewed
Review marketing materials for compliance
Organize and maintain all records of employee disclosure forms
Prepare and submit annual and quarterly regulatory filings
Develop and maintain a compliance program that meets industry and regulatory standards
What You Need for this Position
At least 2 years of experience with investment adviser compliance
Knowledge of the financial services industry/asset management
Ability to work in a team environment and develop relationships with support staff
Ability to create and maintain compliance related documentation
What's In It for You
Competitive pay and bonus potential
Professional growth opportunities
So, if you are a Compliance Associate with experience in trading, please apply today!
Applicants must be authorized to work in the U.S.