Associate / Senior Associate

Profile

Associate / Senior Associate

Duties: Lead or joint lead roles for client compliance reviews, ad-hoc inquiries and relationship management. Supporting compliance program email reviews, expert network processes, marketing materials and personal trading. Identify and communicate required compliance advisory feedback, explain the regulatory basis for suggested changes to clients. Assist with compliance protocols and training regarding all compliance policies, procedures, examinations and audits. Review, interpret and share feedback / opinions for new regulations coming online. Finds the answer to regulatory questions and explains the process and how certain conclusions were derived.

Additional Information

Requisition ID: 1003

Company info

Optima Partners
777 Third Avenue, Suite 22A
New York
New York
United States 10017
Website : http://www.optima-partners.com