Compliance/Onboarding Specialist

Compliance Associate/Sr Associate

Responsibilities:

Employee onboarding– Assist in managing employee onboarding and offboarding processes for registered and non-registered employees, including regulatory registrations, required disclosures, and termination-related compliance mattersCompliance registration – Administering the FINRA registration program, which includes processing Form U4/U5/BD filings, amendments and disclosures and coordinating the scheduling of employee exams and training materialsLiaison with Recruiting and Human Capital Management for all recruiting, new hire and termination mattersEmployee Compliance – Assist in the administration of the Firm's employee compliance program, including review and approval of personal securities transactions, outside business activities, private investments, gifts and entertainment, and political contribution requestsCompliance Training – Assist in the development, coordination, and delivery of new hire and annual compliance training programsContinuing Education - Monitor regulatory continuing education requirements and communicate with registered personnel to ensure timely completionSupervision - Support branch office reviews, supervisory control processes, and maintenance of the Firm's supervisory structure and recordsSurveillance and Monitoring - Conduct electronic communications surveillance reviews and perform compliance monitoring and testing to assess adherence to regulatory requirements, internal policies and procedures, and books and records obligationsPolicy & Procedures – Draft, revise, and maintain compliance policies, procedures, and related documentationCertifications - Manage quarterly and annual employee certifications, attestations, and related follow-up processesReporting and Metrics – Prepare periodic compliance reports and metrics, including supervisory reports, management reporting, and regulatory or departmental dashboardsProjects - Participate in regulatory, operational, and strategic compliance projects and initiatives as neededQualifications:

4-5 years of experience in compliance, registrations, employee compliance, legal, regulatory, or related financial services functions. Experience supporting investment banking or broker-dealer activities is preferredExperience using FINRA CRD, FINRA Gateway, and/or compliance management systems is preferredWorking knowledge of broker-dealer regulations and compliance practices, with a demonstrated willingness to learn and develop expertise across multiple compliance disciplinesStrong organizational and project management skills, with the ability to manage multiple priorities, meet deadlines and identify potential compliance risksExcellent written, verbal, and interpersonal communication skillsAbility to build effective working relationships with employees and stakeholders at all levels, including senior management and bankersFINRA Series 7 and/or Series 24 licenses are preferred; willingness to obtain required registrations upon hire is expecte