Compliance Associate

Michael Page International

New York, New York
7 days ago

$130,000–$150,000 Per Year
Full-time

Highlights

Collaborate with business partners across operations, trading, finance, and other functional areas to promote a strong culture of compliance. Ability to manage multiple priorities, meet deadlines, and maintain a high level of accuracy in a fast-paced environment.

Numbers & Facts

Location	New York, New York
Job Type	Full-time
Industry	Staffing/Employment Agencies
Salary	$130,000–$150,000 Per Year
Company Size	10,000 employees or more
Website	https://www.michaelpage.ca/

Description

Compliance Specialist

Gain hands-on SEC & FINRA compliance experience at a respected firm. Partner with senior leaders on audits, filings, and key projects.

About Our Client

A company operating in the financial services industry, based in New York.

Job Description

Employee Compliance & Code of Ethics

Support the administration and ongoing oversight of the firm's Code of Ethics program.
Manage employee certifications, disclosures, and annual attestation processes.
Review and monitor personal trading activity, outside business interests, private investment activities, and gifts and entertainment reporting.
Escalate potential compliance concerns and assist with issue resolution.
Help maintain and enhance employee compliance policies to reflect evolving regulatory expectations and business needs.

Compliance Monitoring & Surveillance

Conduct periodic compliance reviews and testing of supervisory controls and compliance program effectiveness.
Perform surveillance of discretionary account activity, trade allocations, commission practices, and best execution requirements.
Investigate exception reports, compliance alerts, and monitoring results.
Assist with day-to-day compliance operations and ongoing monitoring activities.

Regulatory Filings & Compliance Program Administration

Assist with the maintenance and enhancement of compliance manuals, supervisory procedures, and departmental documentation.
Prepare and update regulatory filings and disclosure documents, including Form ADV, Form BD, and Form CRS.
Track regulatory developments and assess their impact on existing compliance policies, procedures, and controls.
Support implementation of regulatory changes and process improvements across the compliance function.

Regulatory Exams, Training & Projects

Coordinate compliance training programs and continuing education requirements for employees.
Assist in the preparation for SEC and FINRA examinations, audits, and regulatory inquiries.
Manage regulatory information requests and support examination response efforts.
Participate in firm-wide initiatives and special projects requiring compliance expertise.
Collaborate with business partners across operations, trading, finance, and other functional areas to promote a strong culture of compliance.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Qualifications

SIE and Series 7 licenses required; Series 24 preferred.
3-5 years of compliance experience within an SEC-registered investment adviser, broker-dealer, or dual-registered firm.
Familiarity with trade surveillance, compliance monitoring, and regulatory reporting systems.
Strong analytical, organizational, and problem-solving capabilities.
Excellent written and verbal communication skills with the ability to explain regulatory concepts clearly.
Ability to manage multiple priorities, meet deadlines, and maintain a high level of accuracy in a fast-paced environment.

What's on Offer

Competitive salary ranging from $130,000 to $150,000 USD annually.

Interested? Apply today.

Contact Connor Duenas Quote job ref JN-092026-7114748

Job Summary

Sector: Financial Services

Sub Sector: Compliance & Legal

Industry: Financial Services

Where: New York

Contract Type: Permanent

Consultant Name: Connor Duenas

Job Reference: JN-092026-7114748

About Company

Michael Page is one of the world's leading professional recruitment consultancies, specializing in the placement of candidates in permanent, contract, temporary and interim positions with clients around the world. Our business was established in Canada in 2005 when we opened our Toronto office. Our role is to work with employers and job seekers to facilitate a successful match. This can range from advising a global company on a candidate sourcing strategy to helping a job seeker find their dream job. In Canada, we focus on recruiting for the following areas: Banking and financial services Digital and e-commerce Engineering and manufacturing Finance and accounting Human resources Information technology Marketing Oil and gas Procurement and supply chain Property and construction Sales An Established Brand The Group has established a leading presence in many of the key markets for professional recruitment around the world and has positioned itself in certain other markets, which offer the opportunity for future growth. Within its current largest markets, Michael Page has also built a regional presence, including in the UK, France and Australia. Consequently, the Michael Page brand is among the most widely recognized brands in the professional recruitment industry. A Market Leader The role of a recruitment consultancy is to act as an intermediary, identifying and sourcing suitably qualified candidates on behalf of its clients. Candidates are recruited either for permanent or contract positions (typically for a fixed term) or on a temporary basis. Within the overall recruitment industry, the market for professional recruitment services is a specialist sector which has developed more recently. Michael Page is widely recognized as leading the development of this market around the world. Learn the benefits of working with Michael Page yourself. Submit your resume or contact a Michael Page recruitment consultant today.