Compliance Associate

| Greater NYC Area


Role & Responsibilities:

  • Report directly to the VP of North American Compliance
  • Responsible for Compliance related tasks for the Firm’s US (SEC & FINRA) and Canadian (IIROC, OSC) regulated businesses including, but not limited to:
    • Manage, carry through of the annual internal Compliance review. Prepare testing matrix, manage independent tester, draft findings reports.
    • Act as primary contact, manage matters relating to third party Compliance vendors at onboarding and on an ongoing basis.
    • Partner with Client Team personnel to identify client entities requiring KYC due diligence be completed. Prepare KYC documentation for CCO approval. Assist in KYC related research.
    • Assist in revisions of the Firm’s Written Policies & Procedures, Training Materials, Certifications. Assist in evaluation of regulatory rules (i.e. FINRA Rules 3110, 3120).
    • Assist in SEC Form ATS amendment filings..
    • Complete all FINRA regulatory registrations of staff, background checking procedures in connection with registration related requirements.
    • Complete quarterly, annual, ad-hoc reporting, filings required by the IIROC, OSC, AMF.
    • Assist in internal & external regulatory exams (SEC, FINRA, IIROC, Independent AML Review).
    • Maintain compliance with the Firm’s Book & Records keeping requirements.


  • Bachelors required
  • 5-7 years of financial services industry compliance experience required (FINRA experience preferred)
  • Outstanding written and verbal communication skills
  • Tremendous attention to detail, comfortable working in small firm fast paced environment
  • Comfortable communicating with all levels of Staff, including Senior Management
  • Self-starter, works well both independently and in collaboration with other Staff, vendors, and regulatory contacts as needed
  • Strong pride in work product
  • Experience working in Global Relay preferred
  • Proficient in Microsoft Word Track Changes
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225 Liberty Street, New York, NY 10281

What are EquiLend Perks + Benefits

Volunteer in local community
Eat lunch together
Intracompany committees
Open door policy
Team owned deliverables
Team based strategic planning
Open office floor plan
Dedicated Diversity/Inclusion Staff
Diversity manifesto
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Pet Insurance
Team workouts
EquiLend's team fitness initiatives include In-office yoga.
Retirement & Stock Options Benefits
401(K) Matching
Performance Bonus
Child Care & Parental Leave Benefits
Generous Parental Leave
Family Medical Leave
Vacation & Time Off Benefits
Generous PTO
Paid Holidays
Paid Sick Days
Perks & Discounts
Casual Dress
Commuter Benefits
Company Outings
Acme Co. hosts company outings Quarterly.
Stocked Kitchen
Happy Hours
Happy hours are hosted On occasion .
Professional Development Benefits
Job Training & Conferences
Diversity Program
Lunch and learns
Acme Co. hosts lunch and learn meetings once per month.
Mentorship program
Our mentorship program includes 1-to-1 program.
Online course subscriptions available
Paid industry certifications