Unconventional wisdom. Exceptional performance.
Associate, Core Compliance
Location
Arizona + 26 moreAll locations: Arizona, California, Connecticut, Florida, Hawaii, Illinois, Nevada, New Jersey, New York, North Carolina, North Dakota, Ohio, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin
Posted
69 days ago
Salary
$95K - $120K / year
Job Description
Job Requirements
- Knowledge of the regulatory framework and best practices of an institutional broker dealer (3-5 years)
- Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
- Excellent communication skills both written and verbal
- Detail-oriented, organized, individual able to work in a fast-paced environment and able to multi-task and solve complex problems in a collaborative manner
- Flexibility and openness to assume different tasks and responsibilities within a relatively small team
- Ability to work independently with little supervision
- Proactive and willing to take on issues/responsibilities that require focus and determination
- Candidates must be eligible to work permanently in the United States without sponsorship.
Benefits
- Health Coverage Medical, Dental & Vision Insurance (administered through a national carrier such as Blue Cross Blue Shields)
- Prescription Drug Plans
- Pre-Tax Flexible Spending Account (Health and Dependent Care) (FSA)
- Health Savings Account (HSA)
- Vacation/Personal Days + Holidays
- PT Retirement Mission-Driven Employee Stock Ownership Plan
- Voluntary Life Insurance + Long-Term Disability Insurance
- Discounted Fitness Memberships (Free membership for Chicago office)
- Pre-Tax Commuter Benefits – Transit & Parking
- Mental Health support through company provided Employee Assistance Program
- Employee recognition programs (PT Rewards and Annual Awards)
Related Guides
Related Categories
Related Job Pages
More Compliance Jobs
This position reports to the Functional Area Head, Global Regulatory Affairs and will be responsible for supporting the development and implementation of regulatory strategies, working closely with the cross functional teams to prepare, review and submit regulatory documents, man...
340B Audit-Compliance Analyst coordinating drug pricing program for healthcare entities
Compliance Analyst ensuring regulatory adherence at fast-growing fintech company
Compliance Analyst
HometapHometap helps homeowners get more from homeownership — and life — by allowing them to access their equity, debt free.
Compliance Analyst ensuring regulatory adherence for Hometap's Home Equity Investment products
