Core Compliance AVP

Join a highly skilled and collaborative compliance team work through the full gamut of compliance responsibilities, most notably registrations and compliance trainings.

Client Details

Client is global independent investment bank.

Description

Responsibilities:

• Oversee the onboarding process for new hires, including both registered and non-registered employees.
• Handle the processing of U4/U5/BD Amendments filings and disclosures.
• Act as a liaison with Recruiting and Human Capital Management for recruiting and new hire matters.
• Coordinate the scheduling of employee exams and training materials.
• Generate periodic supervisory reports and management reports.
• Manage the Firm's remote supervision requirements, including monitoring and reporting compliance with the In-Office Policy.
• Monitor and communicate with registered individuals to ensure compliance with their regulatory continuing education requirements.
• Conduct Compliance Training, including new hire training and annual compliance training, and update training materials as needed.
• Oversee the management of Quarterly and Annual Certifications and Attestations.
• Review and approve Gift Requests.
• Maintain recordkeeping for various projects and areas.
• Assist with Branch Reviews.
• Perform reviews and testing to ensure the accuracy of books and records.
• Stay up to date on evolving Regulatory policies.
• Participate in various projects and initiatives.

Profile

Qualifications:

• At least 3 years of proven experience in a registrations role, employee compliance, and/or within investment banking, regulatory, or legal and compliance environments.
• Familiarity with FINRA's CRD and Gateway systems, as well as any compliance management systems.
• Strong understanding of financial services regulations and a willingness to continue learning.
• Exceptional organizational skills, with the ability to manage multiple assignments, meet deadlines, maintain attention to detail, and assess potential risks.
• Excellent written and verbal communication skills.
• Ability to effectively liaise with stakeholders at all levels, including senior management.

Job Offer

Candidate has the opportunity to join a collaborative, smart, and understanding compliance team that is invested in their growth and development.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.