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Wolfe Research is currently seeking a Compliance Associate with 5-10 years of research and trading compliance experience. The position will be based in Wolfe’s New York City headquarters.  Currently, Wolfe has approximately 110 employees and covers over 250 companies.  Wolfe features a 65 person Research team, a 21 person Sales team, a 7 person Equity Trading desk which operates in New York City and Boston, and an Investment Banking department.  Wolfe Research has been voted within the top 15 equity research firms on Wall Street by institutional clients for the past five years in Institutional Investor magazine’s All-America Research Poll (weighted) and we plan continued strategic growth ahead. We have significantly expanded our coverage and headcount during the past two years and need more support to scale the business as we continue to take market share. There are longer term opportunities to grow with the firm, for the right person, as we continue to expand.

Job Description:

Wolfe Research is seeking a Compliance Associate to report directly to the Chief Compliance Officer in all aspects of compliance with a focus on the Equity Trading desk. The Compliance Associate will be responsible for day to day trading desk compliance including monitoring trading activity, developing and overseeing control systems to proactively prevent regulatory issues with trading, monitoring and evaluating trading policies and controls and continuously making improvements as necessary, drafting, modifying and implementing trading policies and procedures, keeping abreast of regulatory developments and best practices in trading, working with the firm’s OMS and other trading desk vendors, revising trading compliance reports as necessary, supervision of OATS reporting and participation in best execution meetings.  In addition, the Compliance Associate will also be working closely with the Chief Compliance Officer in all other regulatory areas including firm and employee registration, identification of compliance risks associated with new business initiatives, assisting with regulatory exams and other governmental or judicial requests, making FINRA filings on behalf of the firm, reviewing employee trading and emails, and preparing and conducting compliance training.


Business New York City
United States
40° 42' 45.99" N, 74° 0' 21.5028" W
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Job Type:
Third Party