Careers

Job Title

Compliance Associate

Position Location

Los Angeles

Position Description

We are seeking a detail-oriented Compliance Associate to support the oversight of the firm’s regulatory compliance program.

Responsibilities include, but are not limited to:

  • Assume a key role in ensuring the firm’s compliance with applicable regulations, including SEC, CFTC and NFA.
  • Work closely with Crabel’s Chief Compliance Officer to integrate new strategies/products, firm initiatives, and regulatory changes into the compliance framework.
  • Assist in maintaining policies, procedures, regulatory risk-matrix and compliance calendar.
  • Coordinate firm-wide education and training regarding regulatory compliance obligations, including the development of a compliance desk manual.
  • Facilitate the review of employee personal trading activity and pre-clearance reports to ensure compliance with firm policy.
  • Review and track employee responses to monthly compliance questionnaires.
  • Assist with the firm’s regulatory reporting efforts.
  • Stay current on relevant SEC, CFTC and NFA developments and industry best practices.

Qualifications:

  • Bachelor’s degree and related industry experience.
  • Knowledge and understanding of industry rules and regulations.
  • Superior attention-to-detail.
  • Ability to effectively multi-task and manage deadlines.
  • Ability to learn complex concepts quickly in a fast-paced environment.
  • Advanced proficiency in MS office applications and internet use.

What You’ll Need to be Successful:

  • Can-do attitude, defaulting to “yes, we will figure out a way”
  • Excellent written, listening, and verbal communication skills
  • A self-motivated and results-driven personality
  • The desire to be a part of an exceptional team in a fast-paced environment
  • Attention-to-detail while managing multiple priorities
  • A pragmatic approach to solving problems

 

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