Firm Investment Management ("Firm") is seeking a highly motivated self-starter to join the team as a Compliance Associate. This position is responsible for monitoring compliance with the firm’s Code of Ethics for personal trading and providing compliance assistance to the Chief Compliance Officer.Conducts investigations, audits, and maintains records pertaining to the annual compliance audit. Prepares written reports of audit findings and conducts follow-up to ensure any noted deficiencies have been corrected
Interprets, provides advice, administers and monitors the firm’s Code of Ethics for personal trading. Provides on-going training to home office staff on Code of Ethics
Identifies potential violations of rules, policies and procedures through thorough knowledge and understanding of regulations
Maintains, establishes and identifies potential violations of client objectives/restrictions in the trading system
Establishes and maintains compliance files and records including product/account documentation
Assists in the review of marketing materials and client proposals
Assists with the SEC 13F report and other required regulatory reports
Assists with the 15C reporting requirements
Provides assistance to outside auditors and subpoenas
Reviews and analyzes trading exception reports to identify and respond to trends or patterns.
Bachelor’s degree and two years industry compliance experience or an equivalent of experience and education
Strong attention to detail
Excellent verbal and written communication skills
Ability to work independently with limited supervision
Excellent communication (verbal and written), analytical, interpersonal skills and diplomacy
Ability to work to meet multiple, competing deadlines in a high pressure, often fast-paced environment.
Ability to work with all levels of management, with a positive solutions based approach
Detail oriented
About Wall Street Personnel
Wall Street Personnel is a financial services recruitment and staffing firm in business since 2000. We work with investment firms, hedge funds, asset management companies, financial planning offices, RIA and so much more.