What are the responsibilities and job description for the Compliance Associate position at Muriel Siebert & Co Inc?
Job Description
Job Description
Benefits :Join an Elite Team - Be the Face of Excitement at Muriel Siebert & Co Inc
Embark on a thrilling career with Muriel Siebert & Co Inc., an esteemed Financial Services Company relocating very soon to New York City. We are on the lookout for a dynamic and detail-oriented individual to join our Compliance Department as a Compliance Associate.
Your Role : The Compliance Associate role demands a self-starter with the initiative to problem solve, and address compliance issues and concerns proactively. We seek an individual with more than just financial acumen - we are looking for someone with a friendly demeanor, an analytical outlook, and a strong desire to excel in the world of Financial Services.
Key Responsibilities : Your responsibilities include :
- Assist with the implementation and timely execution of the Compliance Departments activities relating to communications, daily report reviews, and inquiries.
- Conduct compliance testing and reviews and produce reports thereon.
- Ensure that business areas meet and maintain compliance requirements.
- Support the preparation of reports.
- Performs other duties as required.
- Study and prepare to take required FINRA Series 63, and 24 Exams if not already licensed.
- Series 7 license required
- 2 years Compliance Experience
- Series 24 and 63 preferred or willing to acquire within 3 months of hiring
- Experience with MS office, especially Excel, Word, and Outlook
- Excellent organizational and communication skills (both written and oral)
- Strong time management skills and the ability to multitask
- Ability to communicate effectively with internal teams and our clients
- Professional, confident, and positive demeanor that stands out!
- 8-hour shift
- Monday to Friday
- Overtime
Desired Qualifications and Attributes :
About Siebert Financial Corporation :
Siebert Financial Corp. (Siebert) is a holding company that conducts its securities brokerage business through its wholly owned subsidiary, Muriel Siebert & Co., Inc., which became a member of the NYSE in 1967 when Ms. Siebert became the first woman to own a seat on the Exchange. The company also has business lines in insurance, investment advisory, and financial technology development through its various subsidiaries.
Siebert and its affiliated companies are committed to creating a diverse working environment employing and promoting without regard to race, religion, color, national origin, sex, gender identity, disability, age, veteran status, and other protected status as required by applicable law. As an inclusive equal-opportunity employer, Siebert and affiliates have committed to the ParityPledge for gender parity at the highest levels of business ().
Siebert Financial Corp. is not just a company; it's a legacy. As the first woman-owned seat holder on the NYSE, Ms. Muriel Siebert paved the way for excellence. We are committed to diversity, equality, and creating an inclusive working environment where your unique talents thrive.
Benefits
Health, Dental and 401k Match
Competitive Salary and Time Off
Career Path, Brokerage License sponsorship (Series 7, 24 etc.)
Eligible Education Reimbursement
Additional Benefits
Job Type : Full-time
Schedule :
Education : Bachelors Preferred
Experience : Securities Industry experience preferred.
