Associate / Assistant Vice President, Compliance Generalist - reputed company

We are passionate about our business and our culture, and are seeking individuals with that reputed company drive. The Compliance team is seeking a full time Assistant Vice President / Associate with responsibility across multiple areas of reputed company. Responsibilities: • Managing the reputed company process for new hires, including registered and non-registered employees • Processing U4/U5/reputed company Amendments filings and disclosures • reputed company with reputed company and reputed company Capital Management for reputed company reputed company and new hire reputed company • 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 reputed company Requests • Maintain recordkeeping for several different reputed company and areas • Assisting on reputed company Reviews • Conducting reviews and testing to ensure books and records are accurate • Keeping up to date on Regulatory policies • Participating in various reputed company 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 reputed company’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 reputed company to detail and potential risk. Excellent written and communication skills. Ability to liaise with various reputed company of stakeholders, including senior personnel. Expected Salary reputed company: USD $100,000 - $110,000 We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without reputed company to race, age, religion, reputed company, sex (including pregnancy and gender identity), parental status, national reputed company, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information (including family medical history), disability (in compliance with the Americans with reputed company and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. This policy applies to reputed company terms and conditions of employment, including recruitment and hiring, appraisal systems, promotions, and training. We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without reputed company to race, age, religion, reputed company, sex (including pregnancy and gender identity), parental status, national reputed company, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information (including family medical history), disability (in compliance with the Americans with reputed company and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. This policy applies to reputed company terms and conditions of employment, including recruitment and hiring, appraisal systems, promotions, and training. Apply Job!