Join a leading NY Investment Bank's Licensing & Registration team! Drive key compliance initiatives and advance your career in a dynamic environment.Job Summary: The Compliance team is seeking a Compliance Associate to manage employee onboarding, U4/U5 filings, and regulatory exams. You'll also handle compliance training, recordkeeping, and assist with branch reviews. This is a dynamic role in a fast-paced, regulatory environment. Responsibilities:
- Manage U4/U5 filings, BD amendments, and disclosures, ensuring timely regulatory compliance across all processes.
- Assist with employee onboarding, including registered and non-registered hires, while serving as a liaison with Recruiting and Human Capital management
- Support branch reviews, recordkeeping, and compliance testing, ensuring the accuracy of books and records, and assisting with various compliance projects.
- Coordinate compliance training, certifications, and exams for employees, while monitoring continuing education and regulatory requirements.
Qualifications:
- At least 4 years of experience in a compliance, registration, or regulatory role within financial services or investment banking.
- Bachelor's Degree required.
- Proficient in using FINRA's CRD and Gateway platforms, along with experience in compliance management systems.
The salary range is between $100,000-$115,000 depending on experience. For more information, please reach out to Josh Delgado at ...@trevosepartners.com
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