January 5, 2023
Title: Compliance Associate
About the Company:
Chardan is an independent global investment bank specializing in healthcare, technology, SPACs and emerging growth companies. Our range of services include capital raising, merger and acquisition advisory, strategic advisory, equity research, corporate access, and institutional trading. Headquartered in New York City, Chardan is a registered broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: FINRA, SIPC, NASDAQ and the NYSE Arca, Inc.
Chardan is seeking a Compliance Associate with a Capital Markets background. The Compliance Associate will support Chardan’s functions in a legal and ethical manner while meeting our business goals.
Reporting to and working under the close supervision of our Chief Legal Officer, the Assistant General Counsel will provide legal support of both our investment banking and principal investments activity. Responsibilities are expected to include:
- Ensuring all new hires are properly on-boarded and receive the standard New Employee Package which contains the firm’s policies and procedures and various acknowledgements and attestations.
- Support with FINRA Firm Gateway related tasks, firm and associated persons’ registrations, employee licensing, ad-hoc training efforts, and administration of continuing education program.
- Support the review and approval of employees' personal accounts, personal trading, outside business activities, disclosures, and attestations.
- Assist with Compliance reviews of electronic communications and social media activity.
- Assist where needed with regulatory exams, conducting testing of policies and procedures, and performing certain due diligence reviews.
- Support regulatory filings are completed in a timely fashion. This includes Canadian AML certifications, Australian certifications, Annual CEO Certifications, and any certifications or reporting required by our regulators.
- Support handling regulatory exams, testing of policies and procedures, and certain due diligence reviews.
- Address Compliance and Regulatory matters; rule changes and responses to regulatory inquiries.
- Provide support and execution with respect to all ad-hoc projects assigned by CCO.
- 3-5 years of Compliance experience within a Broker Dealer, Regulatory, and/or Compliance Consulting firm.
- Series 7 and 79 or equivalent; Series 24 preferred or attained upon hiring.
- Working knowledge of U.S. securities regulations and regulatory compliance matters.
- Must be familiar with the FINRA CRD System and Gateway.
- Working knowledge of the Microsoft Word, Excel, and PowerPoint.
- Strong attention to detail, follow-up skills, and ownership mind-set.
- Excellent organizational, time management and project management skills.
- Excellent writing, analytical and communications skills.
- Ability to work independently, with minimal supervision, as part of a small cross-functional team.
- Desire to expand knowledge base and potential ownership of additional regulatory compliance matters.
- Broker-Dealer experience in Operations or Finance a plus.
- Knowledge of TRAFiX, SmartSearch, Smarsh, Global Relay, QuestCE, and EDGAR a plus.
To apply: Please send resumes to email@example.com.
Chardan is an Equal Opportunity/Affirmative Action employer and does not discriminate on the basis of race, gender, ancestry, color, religion, sex, age, marital status, sexual orientation, gender identity, national origin, medical condition, disability, veteran’s status, or any other basis protected by law.
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