Compliance Associate

Compliance Associate, B Riley Securities, Inc. – Partially remote or in our Arlington, Chicago or New York office.

B Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research.

We are seeking a full-time Compliance Associate with a minimum of two to three years industry experience to work partially remote or in our Arlington, Chicago or New York office. The base salary for this position is $65,000 to $80,000.  Competitive salary and benefits package offered commensurate with experience.

The ideal candidate will be a self-starter who is detail oriented and has institutional broker dealer experience. The candidate will be part of a team of compliance personnel servicing brokers and traders across the U.S. Emphasis on teamwork and collaboration is a must. Training and professional growth opportunities are available for motivated candidates.

Duties of this position include, but are not limited to the following: 

1. Maintain and update Firm’s Restricted and Watch List.
2. Assist with daily trade review and surveillance.
3. Clear research.
4. Review and preclear employee personal trade requests.
5. Conduct enhanced due diligence on new clients.
6. Prepare written correspondence to regulatory inquiries.
7. Support the various testing of supervisory policies and procedures.
8. Prepare, organize, and file requisite documentation.
9. Perform other duties as assigned.

Education, Experience and Skills required:

1. Bachelor's degree in Finance, Business, or Economics preferred.
2. Two to five years of experience in the brokerage industry and/or previous compliance experience.
3. Securities Industry Essentials (SIE) and Series 7 preferred.
4. Knowledge of capital markets or asset management industry.
5. Two or more years of experience clearing research reports.
6. Excellent communication skills required.
7. Attention to detail, comfortable working effectively under pressure in a rapidly changing environment.
8. Strong competency in utilizing MS Word, Excel, PowerPoint and Outlook.
9. Ability to organize and prioritize work without supervision.
10. Self-starter with willingness to learn and adapt to new and challenging tasks.

B Riley Securities, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.