Job description
ThinkEquity, a boutique investment bank, is looking for a Compliance Assistant for its Melville office. The position presents a great opportunity for advancement. We are looking for:
Duties and Responsibilities:
· CRD Registration functions, processing and recordkeeping
· AML background checks
· Bloomberg reviews
· New Account processing
· Outside account reviews and employee trade approvals
· Work closely with Chief Compliance Officer
Requirements:
- FINRA Licensed preferred
- Minimum 3-5 years’ brokerage experience
- Proficient with FINRA Gateway
- Excellent verbal and written communication skills
- Excellent organizational skills
- Ability to regularly use independent judgement
- Must be a team player
- Ability to work independently and efficiently in a fast-paced environment
Salary Range:
$70,000 -$85,000
Job Type: Full-time
Salary: $70,000.00 - $85,000.00 per year
Physical setting:
Schedule:
Ability to commute/relocate:
- Melville, NY: Reliably commute or planning to relocate before starting work (Required)
Experience:
- Microsoft, PowerPoint (Preferred)
Work Location: In person, full time – Outsourced Compliance Consultants need not apply.
Job Type: Full-time
Pay: $75,000.00 - $90,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
Physical Setting:
Work Location: In person
