Compliance Associate

Compliance Associate

Have immediate impact | Be passionate about what you do | Grow with us

Cleveland Research Company is an independent research firm headquartered in Cleveland, Ohio. Founded in 2006, CRC has expanded to 15 research teams across 50 key channels publishing research on over 150 companies. We pride ourselves on a disciplined research process that has us regularly engaged with the channels and companies we cover. We built the foundation of CRC in the equity research business with institutional money managers as our primary client base (mutual funds, hedge funds, pension funds).
We are mainly focused on uncovering fundamental business inflection points via rigorous digging in the channel that serve as a foundation for our company and industry forecasts. Our clients find value from getting in front of key themes and trends that lead to faster and better strategic and financial decisions.
Cleveland Research Company is a truly independent firm owned by its founders and employees. Our independent research provides our customers with the insights needed to gain conviction behind their business decisions. We are committed to a singular focus on providing the most accurate and reliable research product in the market.
Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is seeking a qualified candidate to help promote and maintain the firm’s culture of regulatory compliance. The Compliance Associate is a key resource for the firm by assisting the Chief Compliance Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains strong relationships across the departments to foster a culture of professional, ethical, and responsible behavior. A successful candidate will possess a high level of initiative, professionalism, attention to detail, and organizational skills. The position will have daily interaction with individuals from all departments.
Responsibilities

• Review written research product for approval prior to being sent to clients in our Equity business as well as our Market Research business.
• Review of email correspondence and social media accounts, prepare weekly report to review with CCO
• Review of alpha account trades, prepare weekly report to review with CCO
• Review and approve personal trading requests and monitor exception reports
• Conduct vendor risk assessment reviews
• Conduct reviews of client account files and other required FINRA files
• Attend internal department training sessions and client webinars for any Compliance questions
• Assist with FINRA exams as applicable
• Assist with annual compliance reporting requirements
• Review FINRA notices and relevant industry news, follow up with CCO
• Prompt escalation of any potential issues to CCO
• Develop and maintain positive working relationships with internal clients, staff, and peers.
• Other duties as assigned to support the CCO and Compliance Team

Required Qualifications

• Undergraduate degree is required; Business related degree is preferred
• Critical thinking skills and a high attention to detail
• Outstanding time management skills
• High ethical standards
• Able to communicate to all levels of staff effectively, both written and verbally
• Able to multi-task and remain organized and focused in a high-paced environment
• Able to work and adapt as needed to provide support to all levels of the organization
• Applicants must have passed at least three of the four following FINRA exams: SIE, Series 7, Series 24 and Series 16. Must be willing to obtain the fourth if not already held. Materials provided by CRC upon hire
• This position requires a full-time, on-site presence at our downtown Cleveland office in order to effectively work with teams.

BENEFITS: Competitive pay plus bonus potential, fully paid health insurance coverage, Dental and Vision Insurance, 401(k) with matching, and variety of other perks. This position requires a full-time, on-site presence at our downtown Cleveland office in order to effectively work with teams.