What are the responsibilities and job description for the Compliance Analyst - Central Compliance position at Trevose Partners Limited?
Join a leading NY Investment Bank's Central Compliance Team! Drive key compliance initiatives and advance your career in a dynamic environment.
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 :
The salary range is between $100,000-$115,000 depending on experience.
For more information, please reach out to Josh Delgado at Joshua.Delgado@trevosepartners.com
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Salary : $100,000 - $115,000
