Compliance Associate, Personal/Employee Trading (OFFER ACCEPTED)

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Posted on: November 18th, 2025

Our client, a leading investment bank headquartered in Midtown Manhattan, is seeking an experienced Compliance Associate to join their growing team.  This role is responsible for supporting key employee compliance functions, including personal trading oversight, data reconciliation, onboarding tracking, and responding to employee inquiries. The ideal candidate will be analytical, proactive, and able to work both independently and collaboratively in a fast-paced environment.  This is a great opportunity for a compliance professional to join a high-performing team in a well-established institution with long-term growth potential.

Responsibilities include:
  • Process personal account disclosure and pre-clearance forms
  • Reconcile personal trading data received via electronic feeds from our third-party vendor
  • Assist in reconciling receipt of paper brokerage account statements
  • Review employee certification documents and take appropriate action as needed
  • Respond to employee inquiries related to compliance activities through the phone hotline and shared mailbox
  • Perform ad hoc reporting and support projects related to data reconciliation
  • Review employee activity data and metrics to identify trends and patterns
  • Track new-hire onboarding requirements and follow up as necessary

Requirements:
  • Bachelor’s/University degree
  • 3–5 years of compliance experience in the financial industry
  • Personal/Employee trading experience, ideally from broker dealer or investment bank
  • Prior experience with Code of Ethics or Core Compliance programs is a plus
  • Proficiency with Excel and Microsoft Office applications

Pay: $50-$65/hr

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