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New York United States

Compliance Associate

Date added

25 November 2024

Job sector

Global Banking & Markets

Job type

Permanent / Full Time

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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 Joshua.Delgado@trevosepartners.com

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