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Compliance Administrator in Garden City, NY at Risk Strategies

Date Posted: 11/2/2018

Job Snapshot

Job Description

  • Assist with the implementation and management of all compliance programs.
  • Ensure that all regulations are being followed.
  • Assist with developing the necessary processes for the company and external customers to remain compliant with any new regulatory and Broker Dealer requirements.
  • Assist with data gathering and analysis for compliance purposes.
  • Coordinate document requests, procedure changes, and other quality projects.
  • Compile and analyze both internal and external information to prepare audit data.
  • Train employees on compliance guidelines, requirements and standards.
  • Maintain all requisite compliance logs.
  • Interface with our Broker Dealer on compliance matters.


Job Requirements

  • BA/ BS in Business, English, or other related degree.
  • Relevant experience considered a plus, but not required.
  • Comprehensive knowledge of relevant software: Windows, Word/ Excel/ Powerpoint.
  • Excellent communication skills, including written, verbal and presentation.