Compliance Team Lead
2 days ago
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.
- 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.
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.
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