Compliance/Registration Associate
4 weeks ago
DURATION 3 MONTHS
Hybrid: 3 days on site per week
'Since these individuals will be making regulatory filings, we need candidates that can demonstrate aptitude, strong communication and organizational skills, and will embrace the opportunity to learn, while working on a firm-wide initiative. We've had several contingents in the past that came from the legal environment, so we know those are transferrable skills and they are/were comfortable navigating the FINRA framework. While it would be ideal for candidates to a few years work experience, it is not a deal breaker. The project management experience is ideal because they will be working on a project, but they will not be expected to manage it. Not necessary to have financial experience, but it does help provide some foundational knowledge about what we do.'
The Registration team is part of Shared Services Compliance and services 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
by Jobble
-
Compliance/Registration Associate
1 month ago
Baltimore, United States eTeam Infoservices Ltd. Full time* DURATION 3 MONTHS *** Hybrid: 3 days on site per week "Since these individuals will be making regulatory filings, we need candidates that can demonstrate aptitude, strong communication and organizational skills, and will embrace the opportunity to learn, while working on a firm-wide initiative. We’ve had several contingents in the past that came...
-
Compliance Associate
2 weeks ago
Baltimore, United States JobRialto Full timeDescription 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...
-
Patient Registration Associate
1 month ago
Baltimore, United States LifeBridge Health Full time**PATIENT REGISTRATION ASSOCIATE**: - Baltimore, MD - SINAI CORPORATE - PATIENT ACCESS - Full-time - Day shift - 7:30am-4:00pm - Clerical/Administrative - 83130 - Posted: Tomorrow **Summary** **Job Summary**: Under moderate supervision, the Patient Registration Associate performs patient and/or specimen registration. Serves as the front-line...
-
Compliance Associate
4 weeks ago
Baltimore, United States Randstad North America, Inc. Full timeOur client, a global leader in Welath managerment has a need for a Compliance Associate. If you are someone who can demonstrate aptitude, excellent communication and organizational skills,will embrace the opportunity to learn, while working on a firm Associate, Compliance, Retail, Staffing
-
Patient Registration Associate
1 month ago
Baltimore, United States LifeBridge Health Full time**Patient Registration Associate - Grace Medical Center**: - Baltimore, MD - SINAI HOSPITAL - Full-time w/Weekend Commitment - Night shift - Hours Vary - Clerical/Administrative - 83131 - Posted: Today **Summary** **HOURS FOR THIS POSITION ARE AS FOLLOWS: TUESDAY, WEDNESDAY, THURSDAY, AND FRIDAY - 11:00 PM - 6:30 AM; SATURDAYS 7:00 PM - 7:30 AM** **JOB...
-
Compliance Analyst
1 week ago
Baltimore, United States Facet Wealth Full timeAbout The Role: At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we...
-
Compliance Analyst
1 week ago
Baltimore, United States Facet Wealth, Inc Full timeAbout The Role: At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we...
-
Compliance Analyst
1 week ago
Baltimore, United States Facet Wealth Full timeAbout The Role: At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we...
-
Assistant Compliance-property Manager
4 weeks ago
Baltimore, United States The Women's Housing Coalition Full timeThe Assistant Housing Compliance/Property Manager provides support and backup to the Property Manager with all aspects of the organization's government compliance/reporting, property management and budgeting activities. **Compliance** - Generate monthly reports to the Mayor's Office for Homeless Services. - Generate monthly “Contract Rent Report” to...
-
Compliance Analyst I
4 weeks ago
Baltimore, United States Stifel Full timeSummary The Municipal Compliance Analyst I is a key member of the Municipal Compliance team responsible for compliance analysis and reporting requirements, including conducting conflict check requests and reviewing and approving political contribution requests and bond ballot contributions for the Firm. Essential Duties & Responsibilities * Supports the...
-
Compliance Analyst I
16 hours ago
Baltimore, United States Stifel Full timeSummary The Municipal Compliance Analyst I is a key member of the Municipal Compliance team responsible for compliance analysis and reporting requirements, including conducting conflict check requests and reviewing and approving political contribution requests and bond ballot contributions for the Firm. Essential Duties & Responsibilities * Supports the...
-
Environmental Compliance Specialist Ii
1 month ago
Baltimore, United States State of Maryland Full time**Introduction**: The Maryland Department of the Environment is charged with protecting and preserving the State's air, water, and land resources and safeguarding the environmental health of all Maryland’s citizens. The Agency’s mission is to protect and restore the environment for the health and well-being of all Marylanders with a vision of healthy,...
-
Subaward Compliance Administrator
13 hours ago
Baltimore, United States University of Maryland School of Medicine Full timeSubaward Compliance Administrator-(SQ) The University of Maryland Baltimore Office of Research & Development Sponsored Programs is currently seeking a Subaward Compliance Administrator. This position will obtain and assess financial and administrative data from potential subrecipient organizations as part of SPA's subrecipient risk assessment process and...
-
Fund Formation Associate
3 weeks ago
Baltimore, Maryland, United States McGuireWoods LLP Full timeThe Baltimore office of McGuireWoods is seeking an Associate for their Corporate and Private Equity Department. The Corporate and Private Equity Department consists of more than 70 attorneys whose practices focus on all types of private equity transactions including leveraged buy-outs, independent sponsor transactions, rollups, minority and junior capital...
-
Fund Formation Associate
17 hours ago
Baltimore, Maryland, United States McGuireWoods LLP Full timeThe Baltimore office of McGuireWoods is seeking an Associate for their Corporate and Private Equity Department. The Corporate and Private Equity Department consists of more than 70 attorneys whose practices focus on all types of private equity transactions including leveraged buy-outs, independent sponsor transactions, rollups, minority and junior capital...
-
Compliance Analyst
1 week ago
Baltimore, United States CBIZ Full timeMyers and Stauffer LC is a certified public accounting and health care reimbursement consulting firm, specializing in audit, accounting, data management and consulting services to government-sponsored health care programs (primarily state Medicaid agencies, and the federal Center for Medicare & Medicaid Services). We have 45+ years of experience assisting...
-
Compliance Analyst III
1 week ago
Baltimore, United States Amentum Full time**This position is contingent upon contract award** Amentum is seeking a cleared Compliance Analyst to support an upcoming opportunity in Annapolis Junction, MD . Essential Duties: Responsible for providing services to the Compliance Group to ensure the corporation's compliance with relevant laws, executive orders, directions, and regulations governing...
-
Head of Compliance
1 week ago
Baltimore, United States T. Rowe Price Full timeHead of Compliance - North America page is loaded Head of Compliance - North America Apply locations Baltimore, MD time type Full time posted on Posted 19 Days Ago job requisition id 70624 There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premierassetmanagerfocused on delivering global investment management...
-
Head of Compliance
7 hours ago
Baltimore, United States T. Rowe Price Full timeHead of Compliance - North America page is loaded Head of Compliance - North America Apply locations Baltimore, MD time type Full time posted on Posted 19 Days Ago job requisition id 70624 There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premierassetmanagerfocused on delivering global investment management...
-
Compliance Specialist
1 week ago
Baltimore, United States Volunteers of America - Chesapeake Full timeCOMPANY OVERVIEW: Volunteers of America Chesapeake & Carolinas empowers self-reliance and inspires hope. As a church without walls, we do this through personalized housing, ministry, health, and human services that benefit vulnerable individuals, their families and the community. Founded in 1896 in Baltimore, MDby social reformers, Ballington and Maud...