Compliance Generalist Associate
1 month ago
We are seeking a highly motivated and detail-oriented Compliance Generalist to join our team at Moelis & Co. in New York. As a key member of our Compliance team, you will be responsible for managing the onboarding process for new hires, including registered and non-registered employees. You will also be responsible for processing U4/U5/BD Amendments filings and disclosures, liaising with Recruiting and Human Capital Management for all recruiting and new hire matters, coordinating the scheduling of employee exams and training materials, producing periodic supervisory reports and management reporting, managing the Firm's remote supervision requirements, monitoring and communicating with registered individuals regarding their regulatory continuing education requirements, conducting new hire training and annual compliance training, researching and updating training materials, managing Quarterly and Annual Certifications and Attestations, approving Gift Requests, maintaining recordkeeping for several different projects and areas, assisting on Branch Reviews, conducting reviews and testing to ensure books and records are accurate, and keeping up to date on Regulatory policies.
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 FINRA'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 focus to detail and potential risk. Excellent written and communication skills. Ability to liaise with various levels of stakeholders, including senior personnel. We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without regard to race, age, religion, color, sex (including pregnancy), national origin, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information, disability (in compliance with the Americans with Disabilities Act and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. We offer a competitive salary range of USD $100,000 - $110,000.
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