AVP/Associate, Compliance

Global investment bank is seeking a full time Assistant Vice President / Associate to join its compliance team.ResponsibilitiesManaging the onboarding process for new hires, including registered and non-registered employeesProcessing U4/U5/BD Amendments filings and disclosures Liaison 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 Policy Monitoring 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 and/or 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.This role is onsite in Manhattan four days a week (Fridays remote).Comp: $100-115K base plus bonus and competitive benefits package.

Created: 2025-01-15