Compliance Associate- Finra Firm

Job Description

Job Description

Job description

About the Job

A.G.P./Alliance Global Partners

A.G.P. / Alliance Global Partners is a regional investment and advisory firm that has been a member of FINRA and registered with the SEC since 1980. A.G.P. specializes in wealth management and the middle market institutional arena. We have Full-Service capabilities with a global ability to handle domestic as well as international customers. A.G.P. prides itself on providing its clients with boutique-level services along with the confidence of knowing their assets are held at Fidelity Custody and Clearing and RBC Custody and Clearing. We pride ourselves on long-lasting relationships with our clients, ranging from some of the largest institutions and crossing over to the individual investor.

Position

We are seeking a highly organized and detail oriented Senior Compliance Associate to help support our regulatory and compliance efforts . This is an opportunity to work within the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in New York City, with less than 10% travel. This is a hybrid position - expectation is for 4 days in office (Firm has office in mid-town and financial district) and 1 day from home.

Compensation range

$80,000 + bonus based on experience.

Responsibilities include:

· Review and execute Regulatory Filings (via FINRA portal) including:

o Regulation M filings

o 5123 Private Placement Filings

· Manage Firm’s Training Program – currently via QUEST CE

o Schedule new employee training

o Administer Firm annual training and attestations

o Schedule targeted training as required

· Chaperone Calls between Banking and Research

· Review and maintain FinCEN 314a notifications

· Review and respond to customer complaints

· Respond to regulatory inquiries

o Capital Raising

o Reg M

· Assist in conducting Branch Exams

· Assist in review and follow up with exception reports generated by Compliance which require action from supervisors

Qualifications

• Bachelor’s degree or higher
• FINRA Series 7 required, FINRA Series 24 beneficial
• 3 – 5 years relevant experience at RIA and BD or industry regulator
• Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
• Familiarity with NFS and RBC back-office a plus
• Familiarity with SMARSH a plus

A.G.P. / Alliance Global Partners is a regional investment and advisory firm that has been a member of FINRA and registered with the SEC since 1980. A.G.P. specializes in wealth management and the middle market institutional arena. We have Full-Service capabilities with a global ability to handle domestic as well as international customers. A.G.P. prides itself on providing its clients with boutique-level services along with the confidence of knowing their assets are held at Fidelity Custody and Clearing and RBC Custody and Clearing. Whether a client is looking for wealth management advice, Institutional services, or investment banking, we have a track record and a proven team to assist. We pride ourselves on long-lasting relationships with our clients, ranging from some of the largest institutions and crossing over to the individual investor. We strive to make sure your interests become our interests.

Company Description

A.G.P. / Alliance Global Partners is a regional investment and advisory firm that has been a member of FINRA and registered with the SEC since 1980. A.G.P. specializes in wealth management and the middle market institutional arena. We have Full-Service capabilities with a global ability to handle domestic as well as international customers. A.G.P. prides itself on providing its clients with boutique-level services along with the confidence of knowing their assets are held at Fidelity Custody and Clearing and RBC Custody and Clearing. Whether a client is looking for wealth management advice, Institutional services, or investment banking, we have a track record and a proven team to assist. We pride ourselves on long-lasting relationships with our clients, ranging from some of the largest institutions and crossing over to the individual investor. We strive to make sure your interests become our interests.\r\n\r\n