Senior Associate, Compliance Generalist

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Assist the Registration Manager in handling firm and employee registrations, including regulatory filings to FINRA, NFA, GFIN and other regulators
  • Complete Compliance new hire and termination tasks
  • Process pre-hire regulatory checks
  • Handle fingerprinting and study materials
  • Assist in handling FINRA Regulatory Element Continuing Education (CE)
  • Handle queries, policy/system updates, monitoring of Outside Business Activities, Gifts, and Political Contributions
  • Identify and recommend necessary changes to policies and procedures
  • Respond to regulatory and internal inquiries
  • Assist in preparing for and coordinating internal audit and regulatory exams
  • Maintain EFiles and the Org Chart

Qualifications:

  • Bachelor’s Degree
  • 1-2 years prior US compliance experience, including interaction with US regulators.
  • FINRA Series 7 (or ability to obtain within the first year of employment). Series 24 is optional.
  • Sound judgment
  • Ability to work in a team
  • Strong written and oral communication skills
  • Ability to interact with senior management
  • Ability to handle sensitive information with discretion
  • Working knowledge of securities products
  • Proficient in Microsoft Office
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