Compliance Associate

Location: Philadelphia - Remote with occasional office visits

Compensation: $100k-$125k base + bonus

Job Summary:

The Compliance Analyst is responsible for a variety of tasks in support of the Compliance Department’s general operations to maintain and enhance the general compliance program and ensure compliance with SEC, FINRA and other applicable rules and regulations. The individual will be expected to collaborate with colleagues in New York and other offices and liaise with other departments and entities.

Duties and Responsibilities:

• Support Chief Compliance Officer and Compliance Team in administering firm’s compliance program
• Assist with employee certifications, affirmations & questionnaires, and FINRA registrations
• Distribute and review periodic affirmations and other required acknowledgements, as needed, for compliance with firm policies and procedures
• Assist in creation, enhancement, and maintenance of policy related documents, which include policies, standards and procedures, and maintain an up-to-date listing of such documents
• Assist in document gathering and provide support during periodic regulatory exams and internal audits
• Assist in interpreting regulatory developments and their impact on systems and controls
• Provide support on other regulatory and control related matters and other ad-hoc assignments and projects as assigned by management
• This job has no supervisory responsibilities

Qualifications:

• Bachelor’s degree required
• 1-3 years of work experience in governance, risk and/or compliance, preferably in a financial institution or bank
• High degree of professional integrity, judgment, and discretion
• Strong work ethic, initiative, and a proactive approach; ability to manage multiple tasks, prioritize effectively, meet deadlines, and deliver high-quality, error-free work in a fast-paced environment
• Strong verbal and written communication skills
• Excellent relationship building and project management skills
• Expertise in Microsoft suite of applications and ability to learn new software
• applications