Royalty Staffing is Hiring a Remote Compliance Associate - Hybrid (JVD)
Job type: Full-Time Pay: $120k and UP DOE Annual Bonus Shift: Mon - Fri 9 AM to 5 PM Work Setup: Hybrid, (3 days onsite, 2 days remote) The client is a leading direct access trading firm that deals primarily with the trading of domestic equities. A self-clearing broker-dealer, the firm is a member of the FINRA and SIPC.
Job Description: We are looking for a Compliance Associate to join the team. He/she 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 the challenges they face. The Compliance function has a robust set of priorities in place focused on best practices and employee development to ensure goals are delivered. Essential Functions:
The ideal candidate will be professional, and analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and industry principles.
Continually improve the Compliance Program for relevant entities by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant policies and procedures that comprise the compliance program.
Identify and react to changes in regulatory requirements impacting the broker/dealer.
Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Finds, interprets, and implements directives and/or regulations that impact(s) the current compliance environment.
Execute our broker-dealer compliance functions.
Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations.
Complete the annual review of the broker-dealer’s compliance.