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Compliance Associate

  • Location:

    New York

  • Sector:


  • Job type:


  • Contact:

    Ali Hughes

  • Contact email:

  • Contact phone:

    +1 332 256 0130

  • Job ref:


  • Published:

    about 1 month ago

  • Expiry date:


Our Client

Our client is a FINRA registered broker dealer that provides an online investing platform for retail investors with a niche compliance focus in the fintech space.

The successful candidate will join a growing team in New York City as they prepare to branch out multiple accounts over the next 6 months.

Main Duties

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

  • Assist Director of Compliance with projects, tasks, and responsibilities to meet regulatory requirements of a broker dealer firm.

  • Administer trainings on compliance procedures for new hires.

  • Assess and conduct branch/departmental compliance reviews to identify root causes of issues and create risk remediation plans that will ultimately improve streamline processing and workflow.

Your Profile

  • 2+ years of compliance experience at a retail broker dealer or relevant field.

  • Series 7 license preferred, additional licenses a plus.

For more information about this position, please get in touch with Ali Hughes.
Phone: +1 332 256 0130
Reference Code: 11539

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the 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 and New York. 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.