Location: Cleveland,OH, USA
Compliance AssociateCleveland Research Company is an independent research firm headquartered in Cleveland, Ohio. Founded in 2006, CRC has expanded to 15 research teams across 50 key channels publishing research on over 150 companies. We pride ourselves on a disciplined research process that has us regularly engaged with the channels and companies we cover. We built the foundation of CRC in the equity research business with institutional money managers as our primary client base (mutual funds, hedge funds, pension funds).We are mainly focused on uncovering fundamental business inflection points via rigorous digging in the channel that serve as a foundation for our company and industry forecasts. Our clients find value from getting in front of key themes and trends that lead to faster and better strategic and financial decisions.Cleveland Research Company is a truly independent firm owned by its founders and employees. Our independent research provides our customers with the insights needed to gain conviction behind their business decisions. We are committed to a singular focus on providing the most accurate and reliable research product in the market.Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is seeking a qualified candidate to help promote and maintain the firm's culture of regulatory compliance. The Compliance Associate is a key resource for the firm by assisting the Chief Compliance Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains strong relationships across the departments to foster a culture of professional, ethical, and responsible behavior. A successful candidate will possess a high level of initiative, professionalism, attention to detail, and organizational skills. The position will have daily interaction with individuals from all departments.ResponsibilitiesReview written research product for approval prior to being sent to clients in our Equity business as well as our Market Research business.Review of email correspondence and social media accounts, prepare weekly report to review with CCOReview of alpha account trades, prepare weekly report to review with CCOReview and approve personal trading requests and monitor exception reportsConduct vendor risk assessment reviewsConduct reviews of client account files and other required FINRA filesAttend internal department training sessions and client webinars for any Compliance questionsAssist with FINRA exams as applicableAssist with annual compliance reporting requirementsReview FINRA notices and relevant industry news, follow up with CCOPrompt escalation of any potential issues to CCODevelop and maintain positive working relationships with internal clients, staff, and peers.Other duties as assigned to support the CCO and Compliance TeamRequired QualificationsUndergraduate degree is required; Business related degree is preferredCritical thinking skills and a high attention to detailOutstanding time management skillsHigh ethical standardsAble to communicate to all levels of staff effectively, both written and verballyAble to multi-task and remain organized and focused in a high-paced environmentAble to work and adapt as needed to provide support to all levels of the organizationApplicants must have passed at least three of the four following FINRA exams: SIE, Series 7, Series 24 and Series 16. Must be willing to obtain the fourth if not already held. Materials provided by CRC upon hireThis position requires a full-time, on-site presence at our downtown Cleveland office in order to effectively work with teams.Apply at: Competitive salary, fully paid health insurance coverage, 401(k), training and development and a variety of other perks and benefits.Powered by JazzHR