Compliance Associate Vice President

Compliance Associate Vice President Overview

• The Compliance Associate Vice President will oversee licensing, registrations, and employee compliance programs within a dynamic financial services firm.
• This role offers exposure to central compliance functions, including regulatory surveillance and conflicts management.
• Collaborate with compliance, legal, HR, and business units to ensure adherence to regulatory requirements.
• Administer FINRA, NFA, and state registrations, continuing education, and compliance disclosures.
• Contribute to maintaining information barriers, restricted lists, and regulatory documentation.
• Leverage a hybrid work program with three days in-office for operational efficiency and flexibility.
• Enjoy a competitive benefits package, including health, wellness, and professional development opportunities.
• Join a vibrant culture that values diversity, collaboration, and community engagement.

Compliance Associate Vice President Key Responsibilities & Duties

• Administer employee licensing and registration programs with FINRA, NFA, and state regulators.
• Prepare and submit regulatory documentation, including Forms U4, U5, and BR filings.
• Monitor registration statuses, qualification exams, and continuing education requirements.
• Manage Personal Account Dealing (PAD) programs, including account disclosures and trade reviews.
• Review and monitor Outside Business Activities (OBA), Private Securities Transactions (PST), and Gifts & Entertainment (G&E) disclosures.
• Support Watch List and Restricted List administration and conflicts management.
• Assist with information barrier monitoring and regulatory inquiries.
• Monitor regulatory developments and update policies, procedures, and employee guidance accordingly.

Compliance Associate Vice President Job Requirements

• Bachelor's degree in Business, Finance, Accounting, Legal Studies, or related field preferred.
• Minimum of 3 years of experience in compliance, regulatory affairs, or financial services.
• Working knowledge of FINRA registration and licensing requirements.
• Familiarity with SEC, FINRA, and NFA regulations preferred.
• Experience with compliance platforms such as FINRA Gateway and CRD preferred.
• Strong organizational, analytical, and communication skills.
• Ability to manage multiple priorities and interact effectively with stakeholders.
• Preferred FINRA registrations such as Series 7, Series 24, or Series 99.