Compliance Associate


: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time


: Legal

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  • Complete new employee onboarding and new hire compliance training
  • 4530 reports
  • Make necessary updates in FINRA's WebCRD portal to Forms U4, U5, NRF, BD, and BDW
  • Conduct daily and weekly trade surveillance ?
  • Complete monthly employee trade reviews ?
  • Handle customer complaints ?
  • Organize annual Firm Element Continuing Education Training for the Firm?s Registered Representatives
  • Stay up to date on FINRA Regulatory Circulars
  • Draft responses to regulatory inquiries
  • Conduct Annual Compliance Reviews


PandoLogic. Keywords: Regulatory Compliance Specialist, Location: New York, NY - 10060
Associated topics: company, compliance, compliance department, compliance office, corporate, courtroom, internal, lawyer, legal affairs, market * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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