Compliance Associate At Clarity
Clarity (formerly Hiive)
Step into a pivotal role as a Compliance Associate at Clarity, where you'll contribute to regulatory compliance across North America. Leverage your expertise in compliance to ensure operational excellence.
As a Compliance Associate, you will report directly to the Chief Compliance Officer. This role requires a minimum of 3 years of experience in compliance, risk, or audit functions. You'll actively engage in transaction monitoring, regulatory reporting, and compliance training while fostering a culture of accountability within Clarity.
Key Responsibilities: - Conduct daily transaction monitoring and escalate issues - Manage oversight of registered representatives - Test and update compliance policies and procedures - Prepare regulatory reporting and compliance resources - Develop compliance training materials
Requirements: - 3+ years of compliance or risk experience - Strong knowledge of securities markets - Creative problem-solving ability with regulations - Excellent judgment under pressure - Team-oriented, agile in delivering compliance advice
Drive Clarity’s compliance initiatives and support its growth trajectory in the dynamic financial landscape.#J-18808-Ljbffr
As a Compliance Associate, you will report directly to the Chief Compliance Officer. This role requires a minimum of 3 years of experience in compliance, risk, or audit functions. You'll actively engage in transaction monitoring, regulatory reporting, and compliance training while fostering a culture of accountability within Clarity.
Key Responsibilities: - Conduct daily transaction monitoring and escalate issues - Manage oversight of registered representatives - Test and update compliance policies and procedures - Prepare regulatory reporting and compliance resources - Develop compliance training materials
Requirements: - 3+ years of compliance or risk experience - Strong knowledge of securities markets - Creative problem-solving ability with regulations - Excellent judgment under pressure - Team-oriented, agile in delivering compliance advice
Drive Clarity’s compliance initiatives and support its growth trajectory in the dynamic financial landscape.#J-18808-Ljbffr
Vacancy posted 1 hour ago
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