Compliance Associate at EquiLend

| Greater NYC Area
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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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EquiLend is headquartered close to One World Trade. We’re conveniently connected to most subway lines & the PATH station by tunnel for rainy days!
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