Associate / Assistant Vice President, Compliance ...

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 employeesProcessing U4U5BD Amendments filings and disclosuresLiaison with Recruiting and Human Capital Management for all recruiting and new hire mattersCoordinating the scheduling of employee exams and training materialsProducing periodic supervisory reports and management reportingManaging the Firm's remote supervision requirements, which includes monitoring and reporting of compliance with the In-Office PolicyMonitoring and communicating with registered individuals regarding their regulatory continuing education requirementsCompliance Training, including conducting new hire training and annual compliance training; researching and updating training materialsManage Quarterly and Annual Certifications and AttestationsApproving Gift RequestsMaintain recordkeeping for several different projects and areasAssisting on Branch ReviewsConducting reviews and testing to ensure books and records are accurateKeeping up to date on Regulatory policiesParticipating in various projects and initiativesQualifications:Minimum of 3 years of demonstrated experience in a registrations role, employee compliance andor investment banking, regulatory or legal and compliance environment.Experience with FINRA's 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 - $110,000We 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.

Created: 2025-02-19