Compliance Analyst - Central Compliance Job at Trevose Partners Limited, New York, NY

SnZCYnc2dFdoUGhzbnhUQkJtb0hjWmpVaEE9PQ==
  • Trevose Partners Limited
  • New York, NY

Job Description

Job Summary: 
The Compliance team is seeking a Compliance Associate to manage employee onboarding, U4/U5 filings, and regulatory exams. You'll also handle compliance training, recordkeeping, and assist with branch reviews. This is a dynamic role in a fast-paced, regulatory environment.

Responsibilities:

  • Assist with employee onboarding, including registered and non-registered hires, while serving as a liaison with Recruiting and Human Capital management
  • Manage U4/U5 filings, BD amendments, and disclosures, ensuring timely regulatory compliance across all processes.
  • Support branch reviews, recordkeeping, and compliance testing, ensuring the accuracy of books and records, and assisting with various compliance projects.
  • Coordinate compliance training, certifications, and exams for employees, while monitoring continuing education and regulatory requirements.
Qualifications:

  • 2+ years of experience in a compliance, registration, or regulatory role within financial services or investment banking.
  • Bachelor's Degree required. 
  • Proficient in using FINRA’s CRD and Gateway platforms, along with experience in compliance management systems.
The salary range is between $100,000-$115,000 depending on experience.



For more information, please reach out to Josh Delgado at [email protected]

Job Tags

Permanent employment, Full time,

Similar Jobs

Amaray Care

Weekend Caregiver Job at Amaray Care

Amaray Care is looking for a Caregiver to join our team. The Caregiver is responsible for the physical care and emotional support of our clients who may no longer be able to take care of themselves due to illness, injury, surgery, or disability. The ideal candidate...

Domino's Franchise

Delivery Driver - 12330 NC Hwy 210 suite Job at Domino's Franchise

 ...environment with a team focus on customer service Duties include delivery, learning to take phone orders and assistance with cleaning Advancement within the company to other positions if desired Cash tips paid daily with hourly averages wages at $12 to $14 per hour... 

innovitusa

Mainframe Developer Job at innovitusa

 ...analyzing JCL COBOL programs CICS definitions ADSO/IDMS programs and 3rd party utility control cards IDCAMS SYNCSORT and other common mainframe data manipulation processes. Extracting and documenting Business Rules embedded in Mainframe programs third party utilities and... 

EssilorLuxottica Group

Oliver Peoples Licensed Store Manager Job at EssilorLuxottica Group

 ...service. These core values have remained at the foundation of the brand and endure today. A part of an eyewear industry leader, Luxottica, Oliver Peoples strives to be the most prestigious and culturally distinctive eyewear company in the world. We are committed to... 

Whiztek Corp

Scrum master - direct client Job at Whiztek Corp

 ...Job Title: Scrum master BA Location: Houston, TX Work Mode: onsite role Job Overview: We are looking for an experienced Business Analyst with a strong background in Scrum methodologies to join our team in Houston, TX. This role involves working closely...