Senior Compliance Associate

Gilder Gagnon Howe & Co

Location: New York, NY

Gilder, Gagnon, Howe & Co., a stock investment firm focused on growth, is seeking a sophisticated relationship-builder to serve as a critical member of the compliance team and as a liaison between the department and key operators of the business. This role is ideal for someone with good judgement, a strong moral compass, and a deep, complex understanding of compliance regulations.

This individual will be primarily responsible for monitoring retail account activity, contacting sales staff to implement corrective actions, and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, he or she will play an active role in various supervisory- and surveillance-related processes.

Ideal qualities for an individual in this role:

- Personable and diplomatic

- Able to hold multiple perspectives and contributing factors, and move complex discussions toward resolution

- Capable of rigorous discussion, and the explication of compliance law in a sophisticated manner

- Strong sense of responsibility and accountability

- Good listener and communicator, with a strong ability to build trust

- Highly detail-oriented and willing to get involved in the nitty gritty

- Adaptable and curious

Specific responsibilities:

- Conduct ongoing trade review and supervisory functions for retail branch accounts;

- Respond to requests from the firm on various supervision and surveillance related issues;

- Conduct Branch Reviews/Exams;

- Act as a primary contact person for questions pertaining to accounts and the branch;

- Review/approve activity in customer accounts on a periodic basis and other documents requiring the review as a Series 24 principal

- Ensure customer complaints are reported to Compliance promptly

- Review risk related reports and take appropriate action as necessary;

- Identify irregular patterns and trends related to trading activity;

- Assist in responding to regulatory requests from various regulatory bodies;

- Provide training to all registered and unregistered personnel, including that all registered representatives complete required continuing education courses – both regulatory and firm element;

- Confirm that all registered representatives are appropriately registered to solicit the purchase/sale of securities in the state of residence for each client;

- Ensuring all U-4 updates are reported in a timely manner

Desired qualifications:

- Series 4, 7, 63 licenses required (Series 24 preferred)

- 4+ years of Supervision experience within the securities industry;

- Strong knowledge of securities transactions

- Strong knowledge of retail clients

- Familiarity with account suitability data

- Highly organized

- Excellent verbal and written communication skills;

- Excellent customer service and interpersonal skills;

- Strong ability to multi-task and the ability to work under pressure