Compliance

About the jobThe Compliance Associate/Officer will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to their challenges.The Compliance function has a robust set of priorities focused on best practices and employee development to ensure goals are delivered.Responsibilities Monitor trading activities to ensure compliance with relevant regulations, laws, and policies.Collaborate with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policiesDevelop and implement policies and procedures to ensure compliance with regulatory requirementsProvide training and guidance to internal stakeholders on regulatory requirements and internal policiesConduct compliance risk assessments and audits of internal policiesInvestigate and resolve compliance issues and escalate, as necessaryKeep abreast of changes to regulatory requirements and make necessary updates to internal policies and proceduresInterface with external regulatory bodies and respond to regulatory inquiries and requests for information