What are the responsibilities and job description for the Compliance Representative - Registrations & Corporate Support position at Piper Sandler Companies?
At Piper Sandler, we connect capital with opportunity to build a better future.
We believe diverse teams with unique backgrounds, skills and experiences yield more innovative solutions. Our mission is to recruit, develop, retain and engage a diverse, high-performing team. Our business enables bright, committed people working in partnership within an environment that allows each person to achieve at a high level. We commit to encouraging and valuing inclusivity because every partner brings unique perspectives that help us better serve our clients.
We are currently seeking a Compliance Representative responsible for assisting in the direction and execution of Piper Sandler's compliance efforts surrounding our Registrations function and Corporate Compliance activities. This position will report to the Compliance Director and is primarily responsible for performing various compliance and oversight functions designed to ensure compliance with rules, regulations, and internal policies. The Compliance Department is an integral part of the Firm's overall risk management schema, specifically charged with carrying out regulatory obligations to establish, maintain, review, test and modify the Firm's system of supervision and control.
Responsibilities :
- Manage the filing and tracking of personnel and location regulatory filings (i.e. FINRA U4, U5, qualification exams, etc.) and related files.
- Assist with the onboarding process including tracking pre-hires, welcome emails and tracking completion of fingerprint requirements.
- Follow up and make necessary updates on the FINRA CRD system for employee home address changes, work address changes and name changes.
- Handle routine registrations requests such as ordering study materials, processing department invoices, and other misc. administrative tasks as needed.
- Assist in responding to any regulatory inquiries, examinations or investigations relating to Registration and other Corporate Compliance activities.
- Assist, as needed, in the Firms' branch office inspection program to assess compliance with applicable securities industry regulations and internal policies and procedures.
- Prepare written reports to management documenting compliance reviews and branch office inspection results, including all areas of potential non-compliance along with potential solutions for corrective actions.
- Collaborate with other departments to address compliance-related issues and ensure effective controls are in place.
- Assist the Compliance Director in testing and maintaining the firm's policies and procedures, ensuring adherence to SEC, FINRA, MSRB, CFTC, and other relevant regulations.
- Support the development and delivery of compliance training for employees.
Qualifications :
As a leading investment bank, we enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture.
Our human capital, technology, marketing and other corporate support teams work with our business partners to maximize each employee. We understand the dynamic nature of the industry and work alongside our company strategies. Learn more about our firm here.
Piper Sandler values a strong culture dedicated to the emotional and physical well-being of our employees. Learn more about our commitment to our employee's health and well-being. Learn more about our benefits program and how we are here for our employees and their families today, tomorrow and beyond.
All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, sexual orientation, gender identity, national origin, disability, age, marital status, status as a protected veteran or status with regard to public assistance.
The anticipated starting salary range for individuals expressing interest in this position is $60,000 - $140,000 per year. Placement within this range is dependent upon level of experience, location and other factors. This position is eligible for annual incentive compensation which will be a part of the total compensation. Total compensation for this position will be competitive with the market.
Salary : $60,000 - $140,000