Associate / Assistant Vice President, Compliance Generalist - New York
We are passionate about our business and our culture, and are seeking individuals with that same drive.
The Compliance team is seeking a full time Assistant Vice President / Associate with responsibility across multiple areas of focus.
Responsibilities:
Managing the onboarding process for new hires, including registered and non-registered employees
Processing U4/U5/BD Amendments filings and disclosures
Liaison with Recruiting and Human Capital Management for all recruiting and new hire matters
Coordinating the scheduling of employee exams and training materials
Producing periodic supervisory reports and management reporting
Managing the Firms remote supervision requirements, which includes monitoring and reporting of compliance with the In-Office Policy
Monitoring and communicating with registered individuals regarding their regulatory continuing education requirements
Compliance Training, including conducting new hire training and annual compliance training; researching and updating training materials
Manage Quarterly and Annual Certifications and Attestations
Approving Gift Requests
Maintain recordkeeping for several different projects and areas
Assisting on Branch Reviews
Conducting reviews and testing to ensure books and records are accurate
Keeping up to date on Regulatory policies
Participating in various projects and initiatives
Qualifications:
Minimum of 3 years of demonstrated experience in a registrations role, employee compliance and/or investment banking, regulatory or legal and compliance environment.
Experience with FINRAs CRD and Gateway systems and any compliance management system.
Knowledge of financial services regulation and willingness to learn.
Strong organizational skills with the ability to work to deadlines, independently manage varied assignments, maintain a critical focus to detail and potential risk.
Excellent written and communication skills.
Ability to liaise with various levels of stakeholders, including senior personnel.
Expected Salary Range: USD $100,000 - $110,000
We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without regard to race, age, religion, color, sex (including pregnancy and gender identity), parental status, national origin, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information (including family medical history), disability (in compliance with the Americans with Disabilities Act and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. This policy applies to all terms and conditions of employment, including recruitment and hiring, appraisal systems, promotions, and training.
We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without regard to race, age, religion, color, sex (including pregnancy and gender identity), parental status, national origin, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information (including family medical history), disability (in compliance with the Americans with Disabilities Act and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. This policy applies to all terms and conditions of employment, including recruitment and hiring, appraisal systems, promotions, and training.
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The Compliance team is seeking a full time Assistant Vice President / Associate with responsibility across multiple areas of focus.
Responsibilities:
Managing the onboarding process for new hires, including registered and non-registered employees
Processing U4/U5/BD Amendments filings and disclosures
Liaison with Recruiting and Human Capital Management for all recruiting and new hire matters
Coordinating the scheduling of employee exams and training materials
Producing periodic supervisory reports and management reporting
Managing the Firms remote supervision requirements, which includes monitoring and reporting of compliance with the In-Office Policy
Monitoring and communicating with registered individuals regarding their regulatory continuing education requirements
Compliance Training, including conducting new hire training and annual compliance training; researching and updating training materials
Manage Quarterly and Annual Certifications and Attestations
Approving Gift Requests
Maintain recordkeeping for several different projects and areas
Assisting on Branch Reviews
Conducting reviews and testing to ensure books and records are accurate
Keeping up to date on Regulatory policies
Participating in various projects and initiatives
Qualifications:
Minimum of 3 years of demonstrated experience in a registrations role, employee compliance and/or investment banking, regulatory or legal and compliance environment.
Experience with FINRAs CRD and Gateway systems and any compliance management system.
Knowledge of financial services regulation and willingness to learn.
Strong organizational skills with the ability to work to deadlines, independently manage varied assignments, maintain a critical focus to detail and potential risk.
Excellent written and communication skills.
Ability to liaise with various levels of stakeholders, including senior personnel.
Expected Salary Range: USD $100,000 - $110,000
We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without regard to race, age, religion, color, sex (including pregnancy and gender identity), parental status, national origin, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information (including family medical history), disability (in compliance with the Americans with Disabilities Act and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. This policy applies to all terms and conditions of employment, including recruitment and hiring, appraisal systems, promotions, and training.
We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without regard to race, age, religion, color, sex (including pregnancy and gender identity), parental status, national origin, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information (including family medical history), disability (in compliance with the Americans with Disabilities Act and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. This policy applies to all terms and conditions of employment, including recruitment and hiring, appraisal systems, promotions, and training.
Apply Now