Compliance Associate - New York
1 week ago

About The Role:
NPM is looking for a Compliance Associate with previous compliance experience in implementing SEC and FINRA rules to assist the Chief Compliance Officer (CCO) and Compliance Director with managing its SEC registered broker-dealer (BD) and SEC-registered investment adviser (RIA) compliance programs.Responsibilities:
- Assist CCO and Compliance Director with compliance reviews testing management reporting.
- Monitor compliance policies surrounding employee personal trading outside business activities political contributions other BD IA Code of Ethics policies procedures.
Job description
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