Compliance Associate - Licensing, Registrations, and Onboarding

Manhattan, New York Permanent USD90,000 - USD100,000 per year View Job Description
The Compliance Associate will manage employee licensing, registrations, and onboarding processes, ensuring compliance with FINRA and other regulatory requirements, including U4/U5 filings. This public-facing role requires strong organizational skills, attention to detail, and the ability to multitask in a fast-paced environment.
  • Be part of a dynamic and growing team in a respected organization.
  • Opportunity for professional development and career growth.

About Our Client

Our client is a global investment bank known for providing strategic financial advisory services, including mergers and acquisitions, capital markets advisory, and restructuring. It has built a reputation for delivering independent, client-focused advice to corporations, governments, and financial sponsors, often working on high-profile transactions and complex deals. With a lean and nimble structure, it emphasizes close client relationships, offering personalized, expert guidance across industries and regions, while maintaining a strong culture of collaboration and integrity.

Job Description



The Compliance Associate will be responsible for the following:

  • Manage Employee Licensing: Handle the process for employee licenses and registrations, including renewals.
  • Complete U4/U5 Filings: Ensure accurate submission of U4 and U5 forms for onboarding and terminations.
  • Support Onboarding/Offboarding: Assist with compliance tasks for new hires and departing employees.
  • Maintain Compliance Records: Track and update employee licensing and registration information.
  • Communicate with Stakeholders: Respond to inquiries from employees, management, and regulators.
  • Conduct Compliance Audits: Perform reviews to ensure compliance with regulatory standards.
  • Assist in Policy Updates: Help update and maintain compliance policies and procedures.
  • Liaise with Regulators: Communicate with regulatory bodies to ensure legal compliance.
  • Support General Compliance: Assist with broader compliance tasks and staff training.
  • Participate in Projects: Help with compliance-related projects and process improvements.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

The Compliance Associate should have the following background:

  • Bachelor's degree in Business, Finance, Law, or related field
  • 2-4 years of experience in compliance, employee licensing, or registration roles (preferably in financial services or a regulated industry)
  • Experience with U4/U5 filings and FINRA's Web CRD system
  • Knowledge of FINRA, SEC, and state licensing requirements
  • Strong attention to detail for accurate filings and compliance tasks
  • Ability to multi-task and manage multiple projects in a fast-paced environment
  • Excellent communication skills for working with employees, management, and regulators
  • Proficiency in Microsoft Office (Excel, Word, PowerPoint) and compliance software
  • Strong organizational skills for managing and tracking compliance records
  • Preferred: Experience with broader regulatory filings (e.g., NFA, SEC) or compliance certifications

What's on Offer

The offer for the successful candidate includes:

  • Competitive Salary: A market-leading compensation package based on experience.
  • Benefits Package: Comprehensive health, dental, and vision insurance.
  • Professional Development: Opportunities for training, certification support, and career growth within the compliance field.
  • Dynamic Environment: The chance to work in a fast-paced, collaborative, and supportive team.
  • Career Advancement: Potential for progression within a well-established and growing organization.
  • Inclusive Culture: A workplace that values diversity and promotes a positive, inclusive environment.
Contact
Luke Tebolt
Quote job ref
JN-102024-6561367

Job summary

Sector
Banking & Financial Services
Sub Sector
Compliance & Legal
Industry
Financial Services
Location
Manhattan
Contract Type
Permanent
Consultant name
Luke Tebolt
Job Reference
JN-102024-6561367