Senior Compliance Associate
Job Summary
Detail-oriented and proactive, the remote Senior Compliance Associate will support the Firm's regulatory compliance program by assisting with e-communication surveillance, due diligence, risk assessments, and regulatory examinations.
Key responsibilities
- Assist with e-communication archiving reviews to ensure adherence to firm policies
- Complete Due Diligence Questionnaires (DDQs) and Requests for Proposals (RFPs)
- Prepare risk assessments, annual reviews, and support responses to regulatory inquiries
Required qualifications
- 5+ years of experience in KYC, AML, or compliance operations within financial services or fintech
- Deep knowledge of AML/BSA regulatory requirements and OFAC sanctions compliance
- Strong analytical skills for assessing compliance and business risk
- Excellent organizational skills with the ability to manage multiple deadlines
- Preferred: 2+ years of compliance experience within a Broker-Dealer (B/D) or Registered Investment Adviser (RIA)
Complete Job Description
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