Compliance Associate
Current• Limit the firm's risks associated with suspicious trading activity and order handling issues occurring in customer accounts.• Investigate client trading and financial activity, prepare and draft regulatory correspondence, assist in arbitration/litigation preparation, file Suspicious Activity Reports, and develop knowledge about the firm’s computer systems and trading processes.• Prevent and expose situations that may potentially result in costly regulatory sanctions.• Process regulatory requests received from the SEC, CFTC, FINRA, NFA, CME, and CBOE, along with various other foreign and domestic financial regulatory and law enforcement agencies.• Assist the firm’s legal counsel in their defense against customer litigations and arbitrations by analyzing documents and records to help form arguments to rebut the client's allegation against the firm.• Review accounts by analyzing login records, trade activity, communication records, account opening documents, surveillance reports, cashiering activity, and internet searches through various resources.• Prepare numerous Suspicious Activity Reports and other regulatory filings detailing potential fraudulent activity by the firm’s customers.• Participate in the firm’s anti-money laundering program by completing yearly continuing education courses and exercises.
