Compliance Associate

2 weeks ago

Manhattan, United States Michael Page Full time

  • Be part of a dynamic and growing team in a respected organization.
  • Opportunity for professional development and career growth.

    About Our Client

    Our client is a global investment bank known for providing strategic financial advisory services, including mergers and acquisitions, capital markets advisory, and restructuring. It has built a reputation for delivering independent, client-focused advice to corporations, governments, and financial sponsors, often working on high-profile transactions and complex deals. With a lean and nimble structure, it emphasizes close client relationships, offering personalized, expert guidance across industries and regions, while maintaining a strong culture of collaboration and integrity.

    Job Description



    The Compliance Associate will be responsible for the following:

  • Manage Employee Licensing: Handle the process for employee licenses and registrations, including renewals.
Complete U4/U5 Filings: Ensure accurate submission of U4 and U5 forms for onboarding and terminations.Support Onboarding/Offboarding: Assist with compliance tasks for new hires and departing employees.Maintain Compliance Records: Track and update employee licensing and registration information.Communicate with Stakeholders: Respond to inquiries from employees, management, and regulators.Conduct Compliance Audits: Perform reviews to ensure compliance with regulatory standards.Assist in Policy Updates: Help update and maintain compliance policies and procedures.Liaise with Regulators: Communicate with regulatory bodies to ensure legal compliance.Support General Compliance: Assist with broader compliance tasks and staff training.Participate in Projects: Help with compliance-related projects and process improvements.

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.

The Successful Applicant

The Compliance Associate should have the following background:

Bachelor's degree in Business, Finance, Law, or related field2-4 years of experience in compliance, employee licensing, or registration roles (preferably in financial services or a regulated industry)Experience with U4/U5 filings and FINRA's Web CRD systemKnowledge of FINRA, SEC, and state licensing requirementsStrong attention to detail for accurate filings and compliance tasksAbility to multi-task and manage multiple projects in a fast-paced environmentExcellent communication skills for working with employees, management, and regulatorsProficiency in Microsoft Office (Excel, Word, PowerPoint) and compliance softwareStrong organizational skills for managing and tracking compliance recordsPreferred: Experience with broader regulatory filings (e.g., NFA, SEC) or compliance certifications

What's on Offer

The offer for the successful candidate includes:

Competitive Salary: A market-leading compensation package based on experience.Benefits Package: Comprehensive health, dental, and vision insurance.Professional Development: Opportunities for training, certification support, and career growth within the compliance field.Dynamic Environment: The chance to work in a fast-paced, collaborative, and supportive team.Career Advancement: Potential for progression within a well-established and growing organization.Inclusive Culture: A workplace that values diversity and promotes a positive, inclusive environment.

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