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 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 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 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 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 - $110,000 We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without regard to race, age, religion, color, sex (including pregnancy), national origin, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information, 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.

Created: 2024-11-02