Compliance Associate Jobs

A compliance associate job involves a wide range of activities such as coordinating and managing the compliance monitoring process, leading specific data protection initiatives, preparing compliance policies, and advising on sales practices and promotions. A compliance associate will monitor a firm\\\'s information barriers and track information flow and conduct surveillance of employee, proprietary, customer and affiliate trading accounts. A compliance associate will review research for compliance with applicable regulatory requirements and internal policies, and will be responsible for communications between investment banking and research personnel. A compliance associate may provide advice with respect to a firm\\\'s information barrier policies, including trading restrictions, clearance of employee trading requests, and research publications.

A compliance associate job requires a foundation certificate and professional diploma in compliance. Experience of 3+ years in financial services is essential for the job. A compliance associate should have the ability to carry out multiple tasks, ability to spot issues and analyze complex problems quickly and thoroughly and have attention to detail. Excellent communication skills, both written and oral are required.