Compliance Associate - Fintech

About Us

We are a a global financial technology firm serving over 200 of the world's leading financial institutions, including asset owners, broker-dealers, hedge funds, and lending banks. Since launching in 2001, we have become a trusted partner to the securities finance industry, offering a suite of Trading, Post-Trade, Data & Analytics, RegTech, and SaaS solutions that power efficiency and connectivity across global markets. Each month, our trading platform processes more than $2.4 trillion in transactions making us an integral part to the functioning of capital markets.

Headquartered in New York with offices across North America, EMEA, and Asia-Pacific we are proud to be Great Place to Work Certified in multiple countries. We are consistently recognized for excellence and innovation and offer an environment where talented people can make a real impact on the future of financial technology while growing their careers in a collaborative, global team.

Team Overview

The Compliance team at EquiLend supports the firm in meeting its regulatory obligations across jurisdictions while protecting the integrity and reputation of the business. Working in partnership with business units and senior stakeholders, we ensure robust processes, effective monitoring, and accurate reporting are in place.

We are seeking an Associate, Compliance based in New York to assist with regulatory reviews, examinations, and filings that occur on an annual, weekly, and ad hoc basis. This role also plays an important part in monitoring, reporting, and maintaining books and records, providing a strong foundation for a career in compliance within financial services.

Role Responsibilities

• Assist with the preparation and coordination of internal and external regulatory reviews, examinations, and filings.
• Support client due diligence processes and contribute to AML reporting for the North American remit.
• Monitor compliance screening procedures and ensure adherence to books and records requirements.
• Contribute to the delivery of firm-wide compliance training sessions and provide timely responses to internal queries.
• Serve as the primary point of contact for compliance vendors, ensuring relationships are managed effectively.
• Support the implementation and maintenance of compliance procedures, reporting requirements, and regulatory obligations.

Required Skills

• Strong written and verbal communication skills, with the ability to articulate compliance concepts clearly and concisely.
• Demonstrates strong organizational skills and attention to detail, with the ability to manage multiple tasks and shifting priorities effectively.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint); familiarity with Google Suite is a plus.
• Displays analytical thinking with the ability to interpret regulatory requirements and apply them to practical situations.
• Shows a collaborative approach to teamwork while also demonstrating initiative and the ability to work independently when needed.
• Bachelor's degree in finance, business, law, or a related field preferred.
• 1+ years of relevant experience in finance, compliance, or a related area, with broker-dealer experience strongly preferred.
• Knowledge of SEC, FINRA, or other regulatory frameworks is advantageous but not required.

Role Location and Benefits

• Hybrid Working: Enjoy the flexibility of working remotely for up to 100 days each year.
• Generous Vacation Days: Vacation days increase as you progress in your career with EquiLend.
• Discretionary Annual Cash Bonus: A discretionary annual cash bonus to reward your performance and contributions to the company's success.
• Health and Dental Insurance: Comprehensive health and dental insurance coverage is available from your first day.
• 401(k) Employer Matching Contribution Plan: Our 401(k) plan includes employer matching contribution available from day one.
• Compensation: The annual base salary range for this role is $85,000- $100,000, plus a performance-based annual bonus. This range is a general guideline; final offers consider factors such as role scope, candidate experience, internal equity, and market factors.

Diversity & Inclusion

At EquiLend, we are committed to fostering an inclusive and diverse workplace where everyone is respected and valued. We believe that a variety of perspectives drives innovation and strengthens our success. If you require any reasonable accommodations during the interview process, please let us know - we're here to support you.

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