The Expertise You Have

• Bachelor’s degree with 3-5 years of financial industry experience or Masters/MBA/JD with 1-3 years of experience
• Knowledge of securities offerings and broker-dealer rules
• Knowledge of digital assets is a plus
• Experience with risk analysis and compliance controls

The Skills You Bring

• Outstanding written and verbal communication skills with attention to detail
• Committed and collaborative teammate with excellent research, creative problem-solving, and analytical skills
• Strong ability to work independently, multi-task, and prioritize under time pressure
• Ability to apply sound judgment to spot issues and identify items requiring manager awareness

The Value You Deliver

• You provide clear, reliable, and consistent advice to associates to help them meet their compliance obligations
• You work efficiently, but with attention to detail, so that associate disclosures are reviewed timely and accurately
• You research significant legal issues, case law, and regulatory developments and effectively synthesize and communicate findings to educate the team and ensure informed decisions
• Your understanding of securities and the financial industry allows you to identify and critically assess potential risks
• You are a thoughtful decision maker who strives to enhance the associate experience while maintaining a strong culture of compliance