Broker Dealer, FINRA Member. Firm offices are in the United Kingdom (UK), United States (U.S). Creative investment products, services are offered primarily to Institutional clients.. 

Compliance Associate will collaborate with the Chief Compliance Officer (“CCO”) in New York City.

Main responsibilities include: Coordination on Know Your Customer (KYC) onboarding of new clients, monitoring existing clients, periodic account reviews and other matters relating to the global broker dealer business.

• Advise the CCO as a key resource for informational requests during firm regulatory audits. Work on, help develop Anti-Money Laundering (AML)surveillance tools for the Company AML compliance program, assist in all other tasks in the compliance department which may need enhancement.
• Build, nurture relationships with client back office associates, counter parties in trade settlements, compliance matter and middle office departments.

Responsibilities include

• Ongoing OFAC / World Check reviews for all new accounts and future refreshes.
• Support Management, supply key customer metrics for compliance monthly reporting.
• You should also keep abreast to all new rule changes and updates which will alter KYC, AML onboarding processes.

• Bachelor’s Degree
• 2-3 years of tenure as Compliance Officer / Operations with a Broker-Dealer, FINRA Member, Bank or Asset Manager
• Working knowledge on AML, KYC opening requirements
• Excellent social skills
• Practical knowledge of Excel and MS Office software
• CAMS Certification, preferred
• FINRA Series 7 or 99 Registration, preferred; will consider your ability to obtain license, pass examinations during employment / probation time frame

This is a full-time permanent position. In addition to salary, the position will offer comprehensive benefits that are available to all Company employees. The Associate position has limits on travel, overtime, though requires work in the Midtown New York, NY office.

The Company is an equal opportunity employer and values diversity. The Company does not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

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