Compliance Associate

4 weeks ago


Baltimore, United States JobRialto Full time

Description

Department Profile

Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm's invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.

The Registration team is part of Shared Services Compliance and services Client, Institutional Securities Group (ISG, and is responsible for obtaining and maintaining the securities licenses for the Firm, its employees, and branch offices.

Primary Job Responsibilities

The position will be responsible for supporting all aspects of the registration and licensing processes to ensure that the regulatory requirements for the Firm and its registered employees are compliant. The individual will also be responsible for helping to maintain registration records and procedures; assist with the review and interpretation of disclosure records for current and prospective employees; and ensure licensing requirements for all registered employees have been satisfied. Other related responsibilities include:

Develop, maintain or enhance securities licensing processes and procedures

Respond to regulatory and registration requests

Support process workflows and the systems utilized to associate registered individuals

Handle resolution of escalated matters

Assist with targeted projects and support strategic initiatives

Qualifications

Education level: Bachelor's Degree or higher

Legal and/or Compliance experience preferred

Familiar with Microsoft platform tools (Outlook, Excel, PowerPoint, etc.)

Must be highly organized, detailed oriented, and comfortable working both independently and within a team environment

Must be self-motivated, driven, proactive, and possess strong communication and analytical skills

Must be able to manage multiple tasks and prioritize workflow with minimal supervision

Strong project management skills including critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines

Education:

Bachelors Degree

Additional client information: #J-18808-Ljbffr


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