Compliance Associate

Company : ROTH Capital Partners

Job Type : Full Time

Newport Beach, Ca

Number of Applicants

000+

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Job Description - Compliance Associate

Roth Capital Partners, LLC is looking to add a Compliance Associate to our team. Roth is a relationship-driven investment bank focused on serving growth companies and their investors. In addition to capital markets and M&A advisory services, our full-service platform provides a variety of capital markets solutions, including high impact equity research, macroeconomic perspectives, sales and trading, technical insights, derivatives strategies and corporate access. Headquartered in Newport Beach, California, Roth is a privately held, employee-owned organization and maintains offices throughout the U.S.

The Compliance Associate plays a key role in supporting the firm’s regulatory compliance program. This position will provide broad exposure to broker-dealer and investment banking compliance matters, with opportunities for professional growth and development.
Responsibilities include (but are not limited to):

Assist in monitoring and chaperoning communications between the firm’s investment banking and research departments.
Conduct reviews of email communications and other correspondence.
Support record retention and documentation processes.
Assist with the implementation and ongoing maintenance of the firm’s compliance program.
Perform administrative duties and ad hoc projects as assigned.

Skills and Attributes:

Prior compliance-related experience preferred but not required.
Strong interest in compliance within a broker-dealer and investment banking environment.
Proactive and self-motivated, able to work independently while contributing as part of a team.
Excellent organizational skills and ability to manage multiple priorities.
Strong written and oral communication skills.
Professional presence and interpersonal skills to work across departments.
Bachelor’s degree in business administration or other related fields.

Qualifications:

Series 7 license (or equivalent) – Required.
Series 24 preferred (or ability to obtain within 3 months of hire).
Strong working knowledge of Microsoft Office (Word, Excel, Outlook, PowerPoint).

Compensation Range: 65,000 - 70,000 + annual discretionary bonus

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Compliance Associate

Job Description - Compliance Associate

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