Compliance Analyst - Central Compliance Job at Trevose Partners Limited, New York, NY

Q3pQcEVKRFN1S1VGWXBXTkhWQ0xGQkF4Rnc9PQ==
  • Trevose Partners Limited
  • New York, NY

Job Description

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:

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

  • 2+ 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

Job Tags

Permanent employment, Full time,

Similar Jobs

Plastipak Holdings

Blow Molding Maintenance Technician Job at Plastipak Holdings

 ...contribution! Advancement : We prioritize promote-from-within! State-of-the-Art Equipment: Work with our top of the line blow molding & extrusion equipment from industry leaders, such as Sidel and Husky, as well as our own proprietary technologies! You Will... 

Providence Swedish Medical Center

Nurse Technician - GYN Surgical Job at Providence Swedish Medical Center

DescriptionThe Nurse Technician is currently enrolled in good standing in a nursing program approved by the commission, who has completed at least one academic term which included a clinical component. Functions under the direct supervision of a registered nurse and within... 

Jobot

Business Development Manager - Integrated Building Solutions (Hiring Immediately) Job at Jobot

 ...negotiate building automation and energy services solutions in both the new construction and retrofit markets. ~Develop long-term business to business relationships with BAS customers by providing consulting support to architects, engineers, contractors, and owners for... 

Year Up United

Entry Level Data Analyst Opportunity Job at Year Up United

 ...provides young adults with in-classroom skill development, access to internships and/or job placement services, and personalized coaching and...  ...- Project Management Support - Quality Assurance - Data Analytics - Cyber Security Get the skills and opportunity you... 

GEORGE SCHOOL

Mathematics Teacher Job at GEORGE SCHOOL

 ...Job Description Job Description Description: George School, an all-gender Quaker boarding/day school located in Newtown, PA, seeks a full-time teacher of mathematics beginning August 2025 for the 2025-2026 academic year. Responsibilities: George School has...