Regulatory and Compliance Associate with 1-3 years’ experience with broker-dealer regulation under the Securities Exchange Act, FINRA rules, and state laws and regulations. Experience with federal and state investment adviser laws and other federal and state securities laws is helpful but not required. This is an opportunity to work primarily with technology and early- stage growth clients, including FinTech companies, as well as with established broker-dealers and with private fund sponsors. This position requires superior academic credentials, and excellent verbal, written and interpersonal skills.