Compliance Associate

About Clear Street: 

Clear Street is building modern infrastructure for capital markets. Founded in 2018 by industry veterans, Clear Street is an independent, non-bank prime broker designed to solve the industry’s most neglected problem: legacy technology. 

We have built a proprietary, cloud-native, clearing and custody system to replace the legacy infrastructure used across capital markets, improving speed, access, and service for our clients. Today, we offer emerging managers and institutions everything they need to trade U.S. equities and options. In the future, our single-source platform will serve multiple investor types, across multiple asset-classes, on a global scale. 

By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets.

 

The Role: 

Clear Street is looking for a Compliance Associate to work out of its New York office. This Associate will report to senior members of the compliance team and assist with building out the firm's compliance program. 

 

Responsibilities: 

• Provide regulatory guidance and support to Clear Street’s trade desks and prime brokerage business supervisors.  
• Assist in developing supervisory policies and procedures to support the business.
• Test and verify supervisory procedures with respect to the activities of the firm and its associated persons, to help ensure compliance with applicable securities laws and regulations.
• Assist in development and review of various regulatory compliance exception reports.
• Gather information/documentation responsive to regulatory inquiries, assess the responsive information, and draft regulatory responses.
• Coordinate and manage the WSP distribution/affirmation process.

Requirements: 

• 2 - 5 years broker dealer, FCM, swaps dealer or other financial industry experience
• Strong knowledge of financial industry regulatory landscape
• Able to manage multiple tasks/projects with competing deadlines
• Highly organized and resourceful team player with strong attention to detail
• Exceptional research, analytical, communication and writing skills
• SQL/Sigma or other data analysis skills preferred
• Knowledge of general trading rules and regulations (SEC, FINRA, CFTC, NFA, etc.) preferred

We Offer: 

The Base Salary Range for this role is $90,000 - $120,000 This range is representative of the starting base salaries for this role at Clear Street. Where a candidate falls in this range will be based on job related factors such as relevant experience, skills, and location. This range represents Base Salary only, which is just one element of Clear Street's total compensation. The range stated does not include other factors of total compensation such as bonuses or equity.

At Clear Street, we offer competitive compensation packages, company equity, 401k matching, gender neutral parental leave, and full medical, dental and vision insurance. Our belief has always been that we are better as a business when we are all together in person. As such, beginning on January 2, 2023, we are requiring employees to be in the office 4 days per week. In-office benefits include lunch stipends, fully stocked kitchens, happy hours, a great location, and amazing views.

Our top priority is our people. We’re continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse — in ideas, in cultures, and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer.  #LI-Hybrid