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Compliance Associate

  • Location:

    New York

  • Sector:

    Compliance

  • Salary:

    $95,000 - $115,000

  • Contact:

    Lucy Phillips

  • Contact email:

    lucy@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    PHL11829_3

  • Published:

    7 months ago

  • Expiry date:

    2024-01-16

​Our Client

Rutherford is currently partnered with a full-service broker-dealer and investment banking company. As dependable Financial Advisors, they have established an unmatched reputation.

The goal of the firm is to support seasoned financial advisors shift to independence. The firm offers the knowledge, experience, and responsiveness required to establish and maintain prosperous franchises, in addition to competitive payout structures and access to a wide range of investment products, services, and solutions.

Main Duties

The role would entail working closely with the Chief Compliance Officer to meet all Regulatory and Compliance standards, and would sit within a growing compliance team focused on supporting the front office/broker dealer division on a number of regulatory matters.

Key responsibilities for this position will include, but are not limited to:

  • Assist in monitoring the activity of all registered representatives;

  • Review of all new accounts and ongoing review of suitability of customer account activity;

  • Review of daily, weekly, and monthly exception reports and taking necessary actions;

  • Assist in handling customer complaints and regulatory inquiries;

  • Review of RR correspondence, including a review of regulatory inquiries;

  • Review of daily, weekly, and monthly exception reports; Assist in handling customer complaints and regulatory inquiries.

Your Profile

  • Minimum of 5 years’ experience

  • Series 7, S63

Basic salary range for this position is $95,000 - $115,000

For more information about this position, please get in touch with Lucy Phillips.
Email: lucy@rutherfordsearch.com
Phone: +1 332 256 0130
ReferenceCode: 11928

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom, New York and China. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.