Job Description
H1: Associate/Manager (Securities) - Washington, D.C. - **MEMBERS ONLY**SIGN UP NOW*** H2: Join Our Team! Mid-Level Associate/Manager (Securities) Position at Leading Compliance and Regulatory Strategy Firm
**MEMBERS ONLY**SIGN UP NOW***, a leading compliance and regulatory strategy firm, is seeking a mid-level professional for their Associate/Manager (Securities) position in Washington, D.C. In this role, the successful candidate will work with financial industry clients on compliance and regulatory strategy issues, with a focus on securities matters. This is a full-time position with a salary range of $100,000-$225,000, commensurate with experience.
Responsibilities:
- Participate and lead reviews of client compliance programs, focusing on specific hot topics and regulatory requirements. - Conduct assessments across registered entities and jurisdictions, such as trade surveillance, AML, and best execution. - Support expert witness engagements related to securities litigation.
Qualifications:
- 3-8 years of regulatory or SRO experience (e.g., SEC, FINRA) or private sector experience (e.g., consulting firm, law firm, compliance department). - Familiarity and experience with rules and regulations related to the Securities Exchange Act of 1934 and Investment Advisers Act. - Excellent writing and editing skills. - Ability to manage multiple projects, meet deadlines, and deliver high-quality work. - Strong organizational, time management, and problem-solving skills. - Positive attitude, desire to learn, and ability to work in a fast-paced environment.
**MEMBERS ONLY**SIGN UP NOW*** is an equal opportunity employer and values diversity in the workplace. We do not discriminate on the basis of race, color, national origin, ancestry, citizenship status, protected veteran status, religion, physical or mental disability, marital status, sex, sexual orientation, gender identity or expression, age, or any other basis protected by law.
If you are a highly motivated and goal-oriented individual with a passion for compliance and regulatory strategy, we encourage you to apply for this exciting opportunity. As an Associate/Manager at **MEMBERS ONLY**SIGN UP NOW***, you will have the opportunity to work with a dedicated team and grow your skills and knowledge in the financial industry. Join our team and make a difference in the world of securities compliance and regulation.
