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Compliance Advisory Senior Associate

  • Location: New York
  • Salary: $140,000 basic + bonus
  • Job type: Permanent
  • Job reference: 171173
  • Sector: Banking , Asset Management/Funds
Job Description

Barclay Simpson are representing the impressive Chief Compliance Officer of a prestigious global Capital Markets firm, who is seeking to recruit a Compliance Advisory specialist. The successful candidate will have a high profile role within a rapidly expanding business, working as part of a high calibre team helping to design and establish the firm’s Compliance Advisory framework whilst acting as a firm-wide compliance subject matter expert.


Key Duties

  • Assist in the development of a compliance advisory framework ensuring process are in place to track new rules
  • Keeping up to date with regulatory developments and prepare regulatory change reporting to ensure senior management are kept apprised on relevant developments
  • Provide timely compliance and regulatory advice across the firm assessing the effectiveness of existing controls
  • Work with stakeholders across the business to develop training materials
  • Maintain strong working relationships across key business areas


  • Minimum 5 years’ compliance advisory experience in risk management gained in an Investment Bank, Asset Manager or clearing house
  • Experience of liaising with regulatory authorities
  • Excellent verbal and written communication skills
  • Strong relationship and influencing skills
  • Ability to work in a fast-paced environment managing multiple stakeholders and conflicting deadlines
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