Skip to contentBroker-Dealer Compliance – Associate
| Company | iCapital Network |
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| Location | New York, NY, USA |
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| Salary | $90000 – $115000 |
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| Type | Full-Time |
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| Degrees | |
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| Experience Level | Mid Level, Senior |
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Requirements
- 2-5 years of experience, preferably with broker dealer experience
- Strong knowledge of the FINRA rules
- Excellent verbal communication skills and strong ability for personal interaction
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Robust project management and process development skills
- JD a plus, but not required
Responsibilities
- Collaborate across various business lines on new marketing initiatives, providing compliance guidance
- Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives
- Assist in developing and conducting company-wide training to meet both SEC and FINRA obligations
- Assist in preparing for and responding to inquiries and audits from regulatory authorities
Preferred Qualifications
- JD a plus, but not required
