Compliance Associate

| Greater NYC Area

Compliance Associate Role & Responsibilities

  • Report directly to the VP of North American Compliance
  • Responsible for Compliance related tasks for the Firm’s US (SEC & FINRA) and Canadian (IIROC, OSC) regulated businesses including, but not limited to:
    • Manage, carry through of the annual internal Compliance review. Prepare testing matrix, manage independent tester, draft findings reports.
    • Act as primary contact, manage matters relating to third party Compliance vendors at onboarding and on an ongoing basis.
    • Partner with Client Team personnel to identify client entities requiring KYC due diligence be completed. Prepare KYC documentation for CCO approval. Assist in KYC related research.
    • Assist in revisions of the Firm’s Written Policies & Procedures, Training Materials, Certifications. Assist in evaluation of regulatory rules (i.e. FINRA Rules 3110, 3120).
    • Assist in SEC Form ATS amendment filings..
    • Complete all FINRA regulatory registrations of staff, background checking procedures in connection with registration related requirements.
    • Complete quarterly, annual, ad-hoc reporting, filings required by the IIROC, OSC, AMF.
    • Assist in internal & external regulatory exams (SEC, FINRA, IIROC, Independent AML Review).
    • Maintain compliance with the Firm’s Book & Records keeping requirements.

Compliance Associate Qualifications

  • Bachelors required
  • 5-7 years of financial services industry compliance experience required (FINRA experience preferred)
  • Outstanding written and verbal communication skills
  • Tremendous attention to detail, comfortable working in small firm fast paced environment
  • Comfortable communicating with all levels of Staff, including Senior Management
  • Self-starter, works well both independently and in collaboration with other Staff, vendors, and regulatory contacts as needed
  • Strong pride in work product
  • Experience working in Global Relay preferred
  • Proficient in Microsoft Word Track Changes
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225 Liberty Street, New York, NY 10281

An Insider's view of EquiLend

How would you describe the company’s work-life balance?

Having worked for EquiLend for over 7 years, the company's approach to having a work-life balance has also changed. The company has added more flexibility, which has motivated me to give more and go above and beyond for the company. I feel this approach suits my needs to be able to manage family life as well as being able to maintain a career.


Client Relationship Management- Europe

How has your career grown since starting at the company?

I began in Client Services where I gained the expertise to support the full-service offering. From there I stepped into a client-facing role expanding my skill set on the relationship management side of the business. As the company continues to innovate, I’ve been able to gain new skills and develop my position in the market as an industry expert.


Head of EquiLend Canada

How do you make yourself accessible to the rest of the team?

It’s simple. Sit on the floor next to everyone else! I also make it known that my virtual door is always open, even if I appear to be working intently on something. Collaboration is vital to the success of our business, and it doesn’t stop at the C-suite.



What unique initiatives do you have that encourage innovation?

Great ideas can come from anywhere in the organization. So employees of all disciplines are encouraged to participate in an annual innovation contest, where we hear directly from the people who drive EquiLend’s success on how to make our business better. Last year’s winning proposal was successfully released in a proof of concept beta test.



What are EquiLend Perks + Benefits

Volunteer in local community
Partners with Nonprofits
Friends outside of work
Eat lunch together
Intracompany committees
Daily stand up
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Open office floor plan
Dedicated Diversity/Inclusion Staff
Diversity manifesto
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Pet Insurance
Team workouts
EquiLend's team fitness initiatives include In-office yoga.
Retirement & Stock Options Benefits
401(K) Matching
Performance Bonus
Match charitable contributions
Child Care & Parental Leave Benefits
Generous Parental Leave
Family Medical Leave
Vacation & Time Off Benefits
Generous PTO
Paid Volunteer Time
Paid Holidays
Paid Sick Days
Perks & Discounts
Casual Dress
Commuter Benefits
Company Outings
EquiLend hosts company outings quarterly.
Stocked Kitchen
Happy Hours
Happy hours are hosted on occasion.
Professional Development Benefits
Job Training & Conferences
Diversity Program
Lunch and learns
EquiLend hosts lunch and learn meetings once per month.
Cross functional training encouraged
Promote from within
Mentorship program
Our mentorship program includes 1-to-1 program.
Online course subscriptions available
Paid industry certifications
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