Compliance Associate

We are seeking a detail-oriented Compliance Associate to support the oversight of the firm’s regulatory compliance program.

Responsibilities include, but are not limited to:

• Assume a key role in ensuring the firm’s compliance with applicable regulations, including SEC, CFTC and NFA.
• Work closely with Crabel’s Chief Compliance Officer to integrate new strategies/products, firm initiatives, and regulatory changes into the compliance framework.
• Assist in maintaining policies, procedures, regulatory risk-matrix and compliance calendar.
• Coordinate firm-wide education and training regarding regulatory compliance obligations, including the development of a compliance desk manual.
• Facilitate the review of employee personal trading activity and pre-clearance reports to ensure compliance with firm policy.
• Review and track employee responses to monthly compliance questionnaires.
• Assist with the firm’s regulatory reporting efforts.
• Stay current on relevant SEC, CFTC and NFA developments and industry best practices.

Compensation & Benefits:

The estimated base salary range for this position is $80,000-$125,000. The final salary within this range will be based on qualifications, experience, and other factors. Total compensation includes the opportunity to participate in a discretionary bonus plan and a comprehensive benefits program.

Qualifications:

• Bachelor’s degree 
• Minimum 3 to 5 years of related industry experience. Strong knowledge and understanding of industry rules and regulations.
• Superior attention-to-detail
• Ability to effectively multi-task and manage deadlines
• Ability to learn complex concepts quickly in a fast-paced environment
• Proficiency in My Compliance Office and MS Office applications
• Ability to work a hybrid schedule out of the firm's Milwaukee office 

What You’ll Need to be Successful:

• Can-do attitude, defaulting to “yes, we will figure out a way”
• Excellent written, listening, and verbal communication skills
• A self-motivated and results-driven personality
• The desire to be a part of an exceptional team in a fast-paced environment
• Attention-to-detail while managing multiple priorities
• A pragmatic approach to solving problems

Crabel is committed to attracting and retaining employees from diverse backgrounds and fostering an inclusive, supportive environment. We value the differences of all individuals and believe in creating an environment where all employees can thrive.

#LI-Hybrid