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.
- 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