AVP/Associate, Compliance - Career Group : Job Details

Global investment bank is seeking a full time Assistant Vice President / Associate to join its compliance team.

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.

This role is onsite in Manhattan four days a week (Fridays remote).

Comp: $100-115K base plus bonus and competitive benefits package.