Compliance Associate

Compliance Associate | Reports to: Chief Compliance Officer
This position involves managing compliance documentation, audits, onboarding, and tracking
logs within a trading or securities environment, reporting directly to the Chief Compliance
Officer.
Core Responsibilities
● Regulatory & Filings: Manage compliance documentation, contracts, and regulatory
filings to ensure accuracy and deadline compliance.
● Audits & Security: Conduct routine audits of data privacy, security protocols, and
operational workflows.
● Client/Vendor Onboarding: Verify and execute all required agreements, background
checks, and regulatory paperwork prior to onboarding.
● Data Management: Maintain tracking logs, compliance databases, and central records
with high data integrity.
● Internal Support: Serve as the main contact for compliance inquiries, resolving
discrepancies and operational risks quickly.
Key Qualifications
● Mandatory: Direct experience in a trading and/or securities environment.
● Proven background in compliance, administrative coordination, or financial client
support.
● Tech-savvy; proficient with CRMs, ticketing systems, and secure file-sharing tools.
● Strong organizational, communication, and time-management skills.
● High integrity and discretion when handling confidential, sensitive data.

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