Silver specializes in compliance for private equity, venture capital, hedge fund, crypto/digital assets, broker-dealer and other investment firms. As former insiders, we use our innate sense of how investment firms function to align compliance processes with regulator and investor expectations. Join our team as we are at the forefront of navigating regulatory nuances.
We are looking to hire a talented and multi-dimensional Senior Associate who will provide ongoing and project-based support to our Broker Dealer clients. You will work alongside our team of compliance experts in managing the development and enhancement of our clients’ regulatory and compliance policies and procedures.
This role is unique in nature – it requires an individual who is determined to succeed and push beyond the finish line to achieve quality and ensure that we, and our clients, succeed.
- Assist Broker Dealer clients in registering with the SEC (Form BD) and with FINRA (Form NMA)
- Assist Broker Dealer clients in completing FINRA Continuing Membership Applications (CMAs)
- Assist Broker Dealer clients in completing Form ATS, pursuant to Regulation ATS
- Guide Broker Dealer clients to determine what applicable FINRA Series Registrations each of the client’s registered representatives are required to have
- Develop comprehensive Written Supervisory Procedures (“WSPs”) for Broker Dealer clients, encompassing SEC and FINRA requirements, as well as certain customization associated with client’s approved broker dealer activities
- Develop comprehensive Anti-Money Laundering and Know Your Customer policies and procedures;
- Oversee core compliance program functions including: implementation of client WSPs, training (including Firm and Regulatory Continuing Education Elements), design and implementation of annual reviews and anti-money laundering compliance
- Assist in the composition and maintenance of employee disclosure forms
- Forensic testing of client’s personal securities trading activities, electronic communications review, gifts and entertainment, outside business activities and other conflicts of interest
- Oversee compliance risk assessments and client’s testing and monitoring programs in accordance with regulatory expectations and best practices
- Strong understanding of regulatory obligations directly effecting financial services firms, concentrating with broker dealers
- Examine and stay apprised of updates and developments in the regulatory environment, while providing bespoke guidance in order to help our clients satisfy new applicable regulatory requirements
- Bachelor’s degree
- At least two years of financial services industry work experience, with specific concentration and focus on broker dealer activities, as regulated by the SEC and FINRA
- Solid working knowledge of SEC and FINRA registration requirements for broker dealers
- Proficient in Microsoft Office applications and Adobe Acrobat
- Strong written, verbal communication and analytical skills
- Strong organizational skills and acute attention to detail
- Desired candidate works well under pressure, independently and collaboratively and can meet demanding timelines
- Ability to work in a high-performance culture while managing multiple projects simultaneously
- Desired candidate must be a self-starter, entrepreneurial and resourceful
- This position is limited to applicants located in either Los Angeles or New York City
To apply send a resume and cover letter using the form on this page.