Position Summary:
This Compliance Generalist will play a key role in supporting a team with email surveillance review, licensing, registration, and ad hoc responsibilities.

Key Responsibilities:

• Oversee and evaluate electronic communications to ensure adherence to regulatory guidelines and internal standards.
• Processing and filing U4/U5/5B amendments and disclosures.
• Collaborating alongside Recruiting and Human Capital Management teams to consult on matters of new hires.
• Investigate flagged activities and documents searching for clarity and concisely.
• Conducting various forms of compliance training which includes new hire training, annual compliance training, training research, and updating compliance materials.

  
Qualifications:

• Bachelor's Degree.
• 2+ years of experience in compliance related field.

The salary range is between $85,000-$100,000 depending on experience.
      
For more information, please reach out to Mary Ostaszewski at Mary.Ostaszewski@trevosepartners.com