23 Compliance Associate Jobs in New York, NY
The Tandym Group is Hiring a Compliance Associate Near New York, NY
Responsibilities
The Compliance Associate will:
- Conduct general compliance reviews for the bank, including but not limited to: marketing reviews, personal securities transaction reviews, NAV reconciliation reviews, ERISA monitoring, investment restriction reviews
- Prepare regulatory filings
- Prepare Compliance Board Reports
- Complete compliance reports for clients as and when requested.
- Handle special projects and/or other duties as assigned by CCO and Management
- Monitor employee trading to safeguard the firm and to prevent employees from trading on, or the appearance of trading on, material non-public information and liaise with all employees relating to their personal trades
- Bachelor’s Degree or Equivalent
- 2 years of compliance experience
- High level of self-motivation
- Strong interpersonal skills
- Proven contract drafting and negotiation skills
- Excellent communication skills
- Ability to multitask
- Strong attention to detail
- Experience in the alternative investment funds area
Job Summary
Full Time
$97k-122k (estimate)
01/11/2024
07/10/2024
The job skills required for Compliance Associate include Trading, Compliance Monitoring, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Associate. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Associate. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Associate positions, which can be used as a reference in future career path planning. As a Compliance Associate, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Associate. You can explore the career advancement for a Compliance Associate below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Associate, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Associate for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Associate job description and responsibilities
Compliance officers organize regular training sessions for employees to communicate key regulatory changes and updates.
04/12/2022: Tallahassee, FL
Perform other compliance-related responsibilities and special projects as needed.
05/02/2022: Chico, CA
They perceive the compliance risks and regulation measures within the business.
03/04/2022: Rochester, MN
Compliance associate understands the system and be able to establish their system.
03/21/2022: Killeen, TX
A compliance officer explains and defend their point of view.
02/09/2022: Madison, WI
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Associate jobs
Get Certifications and Continue Learning.
02/20/2022: Pascagoula, MS
Look for the Motivation of the Business.
03/31/2022: Spartanburg, SC
Proactively Work with Other Business Functions.
02/13/2022: Portsmouth, OH
Carefully Evaluate the Security and Compliance Posture of Business Associates.
03/02/2022: Elyria, OH
To execute the above tasks and to effectuate desired value, the compliance manager must possess a defined set of skills and expertise.
05/03/2022: Olympia, WA
Step 3: View the best colleges and universities for Compliance Associate.
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