Compliance Associate - Broker Dealer
Robert Half Financial Services is recruiting for a Compliance Associate role for a global Broker Dealer firm located in downtown Manhattan, New York. Our client requires 3+ years of Compliance experience at an Institutional Broker Dealer, with active FINRA Series 7 or 24 License and knowledge of FINRA Regulatory Compliance, Trade Monitoring/Surveillance, CAT/CAIS/606 Reporting and Code of Ethics. This role is hybrid remote requiring 4 days per week in the downtown Manhattan New York office, but does require 5 days in during the first few months.
The role will support institutional trading & sales, equity research, investment banking, electronic trading, and prime services divisions with an emphasis on trade monitoring & surveillance and CAT reporting.
Responsibilities:
• Partner with the Firms compliance team in updating and developing internal policies and procedures for institutional trading.
• Manage the Firm’s Trade Monitoring & Surveillance
• Assist with regulatory reporting management (CAT/606/CAIS)
• Conducting or assisting in preparing information and responses to regulatory exams and inquiries
• Reviewing electronic correspondence and firm’s marketing material
• Review of the Firm’s employee code of ethics requirements (Personal trading, OBA and private securities transactions)
• Establish and maintain open and effective relationships with regulators such as FINRA and the SEC
• Trading desk liaison
• Continuing education management
• Restricted 144 and Legal Sales
• Best Execution Committee Manager
• Wall crossing chaperoning and restricted list management
• Complete clients AML/KYC annual questionnaires
• Branch and department audits
• Assist with onboarding of new clients, such as AML, KYC, and CIP issues.
Qualifications:
Requirements:
- 3+ years of Compliance experience at an Institutional Broker Dealer
- Active FINRA Series 7 or 24 License
- Knowledge of FINRA Regulatory Compliance, Trade Monitoring/Surveillance, CAT/CAIS/606 Reporting and Code of Ethics
- Strong knowledge of FINRA and Nasdaq systems including ACT Workstation, CAT, Gateway, TRACE and CRD
- Working knowledge with FlexTrade and other OMS/EMS platforms
- Bachelor’s Degree
The Compliance Associate role is located in downtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role, and are eligible to work in the United States. The salary is dependent on experience, the range is $110-140k base plus 25% target bonus. If your profile matches the above criteria, please email me directly and add me on LinkedIn, Trishan Khareghat
Compensation
$110,000.00-$140,000.00 YearlyAbout Us
Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.
Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app and get 1-tap apply, notifications of AI-matched jobs, and much more.
All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.
© 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use and Privacy Notice.
