Compliance Team Lead

2 days ago


New York, New York, United States Michael Page Full time
About the Role

We are seeking a highly skilled Compliance Team Lead to oversee our investment banking compliance team. This is an exciting opportunity to join a collaborative and dynamic team that drives business growth while ensuring regulatory compliance.

The ideal candidate will have at least 3 years of experience in a registrations role, employee compliance, and/or within investment banking, regulatory, or legal and compliance environments. Strong understanding of financial services regulations and a willingness to continue learning are essential.

Responsibilities
  • Oversee the onboarding process for new hires, including both registered and non-registered employees.
  • Handle the processing of U4/U5/BD Amendments filings and disclosures.
  • Act as a liaison with Recruiting and Human Capital Management for recruiting and new hire matters.
  • Coordinate the scheduling of employee exams and training materials.
  • Generate periodic supervisory reports and management reports.
  • Manage the Firm's remote supervision requirements, including monitoring and reporting compliance with the In-Office Policy.
  • Monitor and communicate with registered individuals to ensure compliance with their regulatory continuing education requirements.
  • Conduct Compliance Training, including new hire training and annual compliance training, and update training materials as needed.
  • Oversee the management of Quarterly and Annual Certifications and Attestations.
  • Review and approve Gift Requests.
  • Maintain recordkeeping for various projects and areas.
  • Assist with Branch Reviews.
  • Perform reviews and testing to ensure the accuracy of books and records.
  • Stay up to date on evolving Regulatory policies.
Requirements
  • At least 3 years of proven experience in a registrations role, employee compliance, and/or within investment banking, regulatory, or legal and compliance environments.
  • Familiarity with FINRA's CRD and Gateway systems, as well as any compliance management systems.
  • Strong understanding of financial services regulations and a willingness to continue learning.
  • Exceptional organizational skills, with the ability to manage multiple assignments, meet deadlines, maintain attention to detail, and assess potential risks.
  • Excellent written and verbal communication skills.
  • Ability to effectively liaise with stakeholders at all levels, including senior management.
What We Offer

Candidates can expect a competitive salary range between $80,000-$120,000 per year, depending on experience, plus a comprehensive benefits package.

Michael Page is committed to diversity and inclusion. We welcome applications from qualified candidates who share our values.



  • New York, New York, United States Efficient Energy Compliance LLC Full time

    Job OverviewEfficient Energy Compliance LLC is a leading provider of commissioning, retro-commissioning, energy auditing, and resiliency retrofits in the NYC area.


  • New York, New York, United States Authentic Brands Group Full time

    About the RoleWe are looking for an experienced Compliance and Cybersecurity Lead to join our team. In this role, you will be responsible for overseeing our cybersecurity program, including vulnerability management, incident response, and compliance with relevant regulations.


  • New York, New York, United States Stripe Full time

    About the RoleWe are looking for a seasoned Compliance Strategy Lead to help us build and maintain the infrastructure that supports our users' access to all of Stripe's financial products. This role requires a deep understanding of compliance and regulation in financial services.Your main responsibilities will include collaborating with other product teams...


  • New York, New York, United States Indoor Treez Full time

    Career OpportunityIndoor Treez, a leading cannabis retailer in New York City, is seeking a seasoned Inventory Manager to join our team. As an Inventory Manager, you will be responsible for overseeing all aspects of inventory management, ensuring accurate tracking, ordering, receiving, and maintenance of our product inventory while adhering to New York State...


  • New York, New York, United States DriveWealth Full time

    About the RoleThis is an exciting opportunity for an experienced compliance professional to join our team as a Chief Compliance Officer. You will be responsible for ensuring compliance with FINRA and SEC rules, monitoring regulatory changes, and providing guidance to cross-functional teams.ResponsibilitiesThe successful candidate will:Lead and manage the...


  • New York, New York, United States Foursquare Full time

    About the RoleWe are seeking a highly experienced Senior Compliance Manager, Data to join our team in New York City or Seattle. As a key member of our Privacy Team, you will be instrumental in upholding Foursquare's business ethics and product integrity. You will help translate legal guidance into programs and processes, participate in the design and...


  • New York, New York, United States IDB Full time

    OverviewIDB Bank, a leading financial institution, is seeking an experienced Auditor Compliance Manager Lead to join our team. As a key member of our audit department, you will play a vital role in ensuring the accuracy and integrity of our financial reporting.


  • New York, New York, United States Crédit Agricole CIB Full time

    Job Title:Regulatory Compliance Project Lead Company Overview:Crédit Agricole CIB, a leading financial institution, seeks a skilled Regulatory Compliance Project Lead to join our team in this exciting role. Estimated Salary:$120,000 - $180,000 per year Job Description:Project Management Responsibilities:Assists with defining program controls, processes,...


  • New York, New York, United States AJ Culinary Team Inc Full time

    Culinary Team Lead OpportunityAJ Culinary Team Inc is looking for a Senior Culinary Team Lead to join our dynamic team and drive business success.The ideal candidate will have extensive experience in QSR management, strong leadership skills, and a passion for delivering exceptional customer experiences.The estimated annual salary for this role is $70,000 -...


  • New York, New York, United States Sia Partners Full time

    We are seeking a seasoned Risk and Compliance professional to join our team as a Senior Project Lead. As a key member of our Regulatory Compliance Business Unit, you will be responsible for leading cross-functional initiatives and projects that support our clients in navigating complex regulatory landscapes.The ideal candidate will have a proven track record...


  • New York, New York, United States Scotiabank Full time

    About the RoleThis is an exciting opportunity to join Scotiabank's Global Banking and Markets division as a Senior Manager, Compliance Risk Analytics and Reporting. In this role, you will be responsible for ensuring the U.S. operations have robust compliance risk management processes in place. You will work closely with Compliance teams to develop,...


  • New York, New York, United States Brex Full time

    Company OverviewBrex is a leading fintech company that provides AI-powered spend management solutions to businesses. Our mission is to empower companies to spend with confidence and reduce costs. As a key member of our Compliance team, you will play a critical role in ensuring the integrity of our banking partnerships and adherence to regulatory...

  • Lead Paint Inspector

    7 hours ago


    New York, New York, United States Manhattan Lead Full time

    Job OverviewWe are seeking a skilled EPA Lead Paint Inspector to join our team in the NYC area.Key Responsibilities:Punctuality and reliabilityEffective communication with staff membersAble to travel within NYC for work assignmentsExcellent organizational and time management skillsFamiliarity with computer softwareQualifications and Skills:EPA...


  • New York, New York, United States Scotiabank Full time

    About the RoleThe Senior Manager will assist in establishing a framework for identifying, analyzing, assessing, measuring, and reporting compliance risks across Bank's U.S. operations. The Senior Manager will be expected to work closely with the Compliance teams in developing, implementing, and maintaining compliance risk management and metrics. The role...

  • Dispatch Team Lead

    9 hours ago


    New York, New York, United States The Goodkind Group Full time

    About the RoleThe Dispatch Team Lead is responsible for managing the workflow, man-hours, and driver productivity to ensure timely delivery and pick-up of blood and blood products. This role requires strong communication and problem-solving skills to resolve customer service issues and maintain compliance with policies and procedures.


  • New York, New York, United States Manhattan Lead Full time

    Job DescriptionWe are seeking an experienced EPA Lead Paint Inspector or Risk Assessor to join our team in the NYC area. As a member of our team, you will be responsible for performing testing and inspections in the field, working closely with staff members to ensure accurate results and effective communication.Responsibilities:Field Testing and Inspections:...


  • New York, New York, United States Crowe LLP Full time

    About the RoleJob OverviewWe have an exciting opportunity for a Compliance Risk Management Lead - Consumer Banking to join our Financial Services Consulting practice. As a leader in this role, you will be responsible for managing compliance risk and providing expert guidance on regulatory matters to our clients.Your key responsibilities will include:Managing...


  • New York, New York, United States Crédit Agricole CIB Full time

    Job OverviewThe Compliance Regulatory and Assurance (CPL RA) team at Crédit Agricole CIB is a specialized unit within the CACIB Compliance Function, reporting directly to the Chief Compliance Officer. The CPL RA team provides strategic management of regulatory activities, focusing on supervisory reviews, examinations, and continuous monitoring.Key...

  • Culinary Team Lead

    1 week ago


    New York, New York, United States The Pierre, a Taj Hotel Full time

    Join us at The Pierre, a Taj Hotel, where we strive to provide unforgettable culinary experiences to our guests. As a Culinary Team Lead, you will be responsible for overseeing all aspects of kitchen operations, ensuring that all dishes meet the hotel's high standards for quality and presentation.Main Responsibilities:Support the Executive Chef in planning...


  • New York, New York, United States Gen II Fund Services LLC Full time

    Are you a seasoned accounting professional looking for a new challenge? Do you have experience working with private equity funds and a strong understanding of investment company accounting? If so, we invite you to apply for the position of Accounting Team Lead at Gen II Fund Services, LLC.In this role, you will lead a team of accounting professionals,...