Compliance Associate

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 ******

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