Compliance Associate - FinTech

About the Role
We are looking for an Associate, Compliance to join us in our New York office. Our Compliance team plays a vital role in helping us to meet our regulatory obligations across jurisdictions while safeguarding the integrity and reputation of our business.

Working closely with colleagues across the firm, you will contribute to key compliance activities such as regulatory reviews, monitoring, and reporting. This role offers exposure to a wide range of compliance disciplines, providing a strong foundation for a long-term career in financial services compliance. You will have the opportunity to work alongside experienced professionals, gaining insight into the workings of a global financial technology company operating at the heart of the securities finance industry. 

What You’ll Do 

• Assist with the preparation and coordination of internal and external regulatory reviews, examinations, and filings.
• Support client due diligence processes and contribute to AML reporting across the North American region.
• Monitor compliance screening procedures and ensure adherence to books and records requirements.
• Contribute to the delivery of firm-wide compliance training sessions and provide timely responses to internal compliance queries.
• Serve as the main point of contact for compliance vendors, ensuring that relationships are managed effectively and efficiently.
• Support the implementation, documentation, and maintenance of compliance procedures, reporting requirements, and regulatory obligations. 

What We’re Looking For 

• Has 1+ years of relevant experience in finance, compliance, or a related area; broker-dealer experience is a plus.
• Demonstrates strong written and verbal communication skills, with the ability to articulate compliance concepts clearly and professionally.
• Shows excellent organizational skills and attention to detail, managing multiple priorities effectively in a dynamic environment.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
• Displays analytical thinking with the ability to interpret and apply regulatory requirements in a practical, risk-aware manner.
• Works collaboratively across teams, demonstrating initiative and accountability when working independently.
• Knowledge of SEC, FINRA, or other regulatory frameworks is advantageous but not required. 
• Bachelor’s degree in finance, business, law, or a related field

Benefits 

• Hybrid Working: Enjoy the flexibility of working remotely for up to 100 days each year.
• Generous Vacation Days: Vacation days increase as you progress in your career with EquiLend.
• Discretionary Annual Cash Bonus: A discretionary annual cash bonus to reward your performance and contributions to the company’s success.
• Health and Dental Insurance: Comprehensive health and dental insurance coverage is available from your first day.
• 401(k) Employer Matching Contribution Plan: Our 401(k) plan includes employer matching contribution available from day one.
• Compensation: The annual base salary range for this role is $85,000- $100,000, plus a performance-based annual bonus. This range is a general guideline; final offers consider factors such as role scope, candidate experience, internal equity, and market factors.