Nasdaq Private Market · 8 hours ago
Compliance Associate
New York, NY
Full-time
Hybrid
Mid Level
$90K/yr - $120K/yr
3+ years expNasdaq Private Market is an independent provider of secondary liquidity solutions for private securities. The Compliance Associate will assist the Chief Compliance Officer and Compliance Director in managing compliance programs for the SEC registered broker-dealer and investment adviser, ensuring adherence to relevant regulations and policies.
FinanceFinancial ExchangesFinancial ServicesFinTechStock Exchanges
Responsibilities
Assist CCO and Compliance Director with compliance reviews, testing, and management reporting
Assist CCO and Compliance Director with the development, implementation and maintenance of the BD and RIA’s compliance policies and procedures and training programs
Monitor compliance with policies surrounding employee personal trading and outside business activities, political contributions, and other BD and IA Code of Ethics policies and procedures
Provide appropriate real-time support, advice, and training to the relevant front office and infrastructure personnel with respect to BD and RIA compliance
Assist with regulatory filings for the BD and RIA, including Form ADV, Form CRS and Form PF
Handle FINRA Firm Gateway filings, including Form BD and Forms U4/U5, and monitoring continuing education requirements
Review, interpret and assess regulatory impact related to proposed and new securities rules and laws
Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews
Review and approve marketing materials and other public communications
Support investor qualification reviews and AML/KYC verifications for private fund investors and BD customers
Work closely with Sales and Operations departments on daily compliance issues
Assist in conducting issuer due diligence reviews
Qualification
Required
3+ years of broker-dealer and/or investment adviser compliance experience
Working knowledge of the Investment Advisers Act of 1940, SEC, SRO, and AML rules and regulations
Series 7 (required), Series 24 (desirable or willing to attain)
Bachelor's degree (required)
Ability to work dynamically in a small private company and culture
Strong communication, interpersonal, and presentation skills to work effectively with internal and external stakeholders
Detail oriented, accurate, organized and able to set priorities
Ability to multi-task and adapt to shifting priorities
Strong technical skills in the Microsoft Office suite
Ability to work at our offices in midtown Manhattan 4 days a week with remote working once a week and at certain times throughout the year
Benefits
Medical insurance
Vision insurance
Dental insurance
401(k)
Paid paternity leave
Paid maternity leave
Commuter benefits
Disability insurance
Company
Nasdaq Private Market
NPM brings together global private companies, banks and brokers, stakeholders, and investors together to transact in one marketplace.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$143.9MKey Investors
Cerity PartnersNasdaq
2026-01-16Series C· $37.6M
2025-12-03Series C· $22.5M
2024-02-08Series B· $62.4M
Leadership Team
Tom Callahan
Chief Executive Officer
James Brooks
Chief Strategy Officer
Recent News
2026-01-22
2026-01-16
Company data provided by crunchbase