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:

• Manage U4/U5 filings, BD amendments, and disclosures, ensuring timely regulatory compliance across all processes.
• Assist with employee onboarding, including registered and non-registered hires, while serving as a liaison with Recruiting and Human Capital management
• 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:

• At least 4 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 Joshua.Delgado@trevosepartners.com