Compliance Associate
B. Riley Financial (NASDAQ: RILY) provides collaborative financial services solutions tailored to fit the capital raising, business, operational, and financial advisory needs of its clients and partners. B. Riley Financial operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley Financial is headquartered in Los Angeles with offices in major U.S. markets as well as an international footprint. For more information on B. Riley Financial, please visit www.brileyfin.com.
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. B. Riley Securities formerly operated as B. Riley FBR following the merger of B. Riley & Co. and FBR & Co.
We are seeking a full-time Compliance Associate to work in our Los Angeles, CA office.
The ideal candidate will be a self-starter who is detail oriented and has retail or 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 team work and collaboration is a must. Training and professional growth opportunities available for motivated candidates. This position will be located within the Compliance department at the firm’s headquarters office.
Duties of this position include, but are not limited to the following:
- Assist with daily trade review and surveillance.
- Maintain and update Firm’s Restricted and Watch List.
- Review and preclear employee personal trade requests.
- Conduct enhanced due diligence on new clients.
- Prepare written correspondence to regulatory inquiries.
- Support in the various testing of supervisory policies and procedures.
- Prepare, organize, and file requisite documentation.
- Perform other duties as assigned.
Education, Experience and Skills required:
- Bachelor’s degree in Finance, Business, or Economics.
- Three to five years of experience in the brokerage industry and/or previous Compliance experience.
- Securities Industry Essentials (SIE), and Series 7 preferred but training is available.
- Knowledge of capital markets or asset management industry.
- Excellent communication skills required.
- Attention to detail, comfortable working effectively under pressure in a rapidly changing environment.
- Strong competency in utilizing MS Word, Excel, PowerPoint and Outlook.
- Ability to organize and prioritize work without supervision.
- Self-starter with willingness to learn and adapt to new and challenging tasks.
B. Riley Financial, 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.