Compliance Associate Vice President

Job DetailExperience Level Mid LevelDegree Type Bachelor of Science (BS)Employment Full TimeWorking Type HybridJob Reference 0000022565Salary Type AnnuallyIndustry Banking;Broker DealerSelling Points Lead impactful compliance initiatives in a dynamic financial services environment. Gain exposure to regulatory surveillance, licensing, and employee compliance programs. Enjoy competitive benefits and a hybrid work model.Job DescriptionCompliance Associate Vice President OverviewThe 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 & DutiesAdminister 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 RequirementsBachelor'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.