Compliance Assistant

Rosenblatt Securities started as an independent NYSE floor broker in 1979 with a simple goal: help clients prosper by offering conflict-free advice and execution services. Since then, Rosenblatt has adapted to changing times and diversified. Today we are:

• The industry’s largest floor broker
• A provider of top-notch agency program-trading services
• The undisputed leader in market-structure analysis
• A source of differentiated equity research on the TMT sector
• An award-winning FinTech and TMT investment banking boutique

But one thing remains the same: our passion for improving the capital markets and an unwavering commitment to a culture of independence, integrity, and intellectual honesty that has guided us from day one. Learn more about our culture here.

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Job description:

The Compliance Assistant position is an entry level position where you will serve as liaison between a number of parties: our clients, employees, regulators, and third-party vendors concerning our regulatory compliance with Securities Laws and Regulations.

Reports to: Chief Compliance Officer

Responsibilities:

Respond to regulatory inquiries and examinations.

Assist with drafting Written Supervisory Procedures.

Assist with annual compliance training.

Assist with annual compliance filings/ reports.

Review employee personal trading requests for approval.

Review employee emails and texts for potential compliance violations.

Perform AML and OFAC checks on new accounts.

Respond to client requests and annual auditor requests.

Responsible for CAT and CAIS Reporting processes.

Maintain employee combined firm attestations.

Assist with responsibilities for affiliated registered investment advisor, Rosenblatt Global Advisors

Must either have or be able to pass SIE, Series 7TO (Registered Representative), and Series 63 (Blue Sky Agent) licensing examinations within four months of employment start date.

Advancement to Compliance Officer based on merit and already having or passing of Series 24 (General Securities Principal, and Series 99 (Operations Principal).

Benefits include healthcare, dental, 401k participation with a defined match, PTO, VTO (volunteer time off), maternity and paternity leave.

Immediate $3,000 salary raise upon passing of each of Series 7TO, 24, and 99 examinations.

What we Offer:

• Rosenblatt offers a family-friendly work environment that is filled with driven people all working on the same team to the same ends.
• The opportunity to learn, grow and contribute given our size and open-door and collaborative work environment. New ideas are welcomed.
• A hybrid-schedule option (NYC-location only) in the near-term.

Desired Qualifications Include:

• Bachelor’s Degree, ideally in Finance, Economics, Business, or related field, and a minimum 2-4 years of experience in the financial services industry, ideally in the securities industry or compliance function.
• Strong analytical skills with the aptitude to absorb and distill large amounts of data
• Unimpeachable integrity
• A rule following mindset balanced with a predilection for problem-solving
• A positive and energetic attitude
• An ability to learn quickly and multi-task
• Excellent written and verbal communication skills; High EQ
• An ability to work both independently and collaboratively