Job Description :
The Compliance Associate will represent the firm on regulatory matters and be responsible for the enhancement and maintenance of internal policies and procedures in connection with FINRA and SEC requirements. The ideal candidate would be a thought leader in regulatory compliance and have demonstrated success in project management, program enhancement, and key relationship development.
The successful candidate is expected to:
- Be primarily responsible for filings and communications with FINRA on issues related to BDCs and/or the Franklin Square broker-dealer.
- Collaborate with due diligence in development of presentations and responses to information requests.
- Develop and conduct ongoing training on regulatory matters for licensed personnel.
- Provide advice on and track regulatory developments affecting the firm and the industry.
- Develop and maintain relationships with external stakeholders/regulators.
- Participate in speaking engagements in connection with FINRA regulation or policy development.
- Support the Chief Compliance Officer in testing and monitoring.
- 4+ years of experience in compliance.
- FINRA Series 7 license preferred but not required.
- Thorough understanding of regulatory and compliance matters.
- Experience with general broker-dealer securities regulation required.
Link Where Candidate to Apply : firstname.lastname@example.org