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Branch Inspections Compliance Associate

  • NYC
  • Full Time

Apply for the Branch Inspections Compliance Associate position

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Broker dealer located in Midtown Manhattan looking to bring on board a “Branch Inspections Compliance Associate” to join their team. This role is currently in a hybrid schedule (2 to 3 days in office / week).

Responsibilities:
• Assist with Risk Assessment process for each registered and non-registered location in accordance with FINRA requirements and Firm expectations.
• Assist with communication deficiencies to the business
• Assist with remediation of gaps identified in the Branch Inspections process
• Build relationships with key stakeholders globally
• Assist the Compliance Testing Team, as needed, on monitoring and testing engagements.
• Develop testing and monitoring metrics and contribute to department reporting
• Support issues management development and tracking of Compliance-identified findings
• Support the development of a rules inventory that covers rules and regulations applicable
• Participate in special projects as they arise to enhance compliance functions
• Work closely with other support functions and the business areas to support a culture of compliance across the firm
• Assist in identifying areas for enhanced monitoring or training