Mission Staffing
This range is provided by Mission Staffing. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
$70.00/hr - $75.00/hr Direct message the job poster from Mission Staffing Our client, a leading multinational bank based in New York, NY, is seeking a Compliance Associate to assist with the Registrations department with all aspects of the FINRA licensing and registration’s process. This person will be tasked with creating electronic employee folders ensuring proper documents are in place i.e.. fingerprint results, previous employer U5, signed U4, HR background checks, etc. Additional responsibilities include creating FINRA BD/IA user accounts, scheduling FINRA exams, fingerprints (NFA) and ordering study materials. Candidates must be familiar with FINRA licensing/registrations and working knowledge of FINRA Gateway. Responsibilities Include: Create electronic employee folders (ensure proper documents are in the folders (fingerprint results, previous employer U5, snapshot, Arb. Clause, signed U4 and HR background checks). Create draft U4s (using HR background checks). Confirm information on initial and transfer U4s are verified and/or run partial background checks as needed. Research and correct licensing deficiencies. Prepare U4 amendments (change of address, name change, branch offices, outside business disclosures, exam windows, state registrations, etc.). Track Regulatory Element continuing education and escalate when necessary. Track exam status reports and follow-up with employees pending examinations. Assist in scheduling FINRA exams, fingerprints (NFA) and ordering study materials. Create and maintain the FINRA BD/IA user accounts. Assist with the TN professional privilege Tax filings, Nebraska Citizenship Verifications, and annual renewals. Requirements: Familiar with FINRA licensing/registrations and working knowledge of FINRA Gateway. Degree from an accredited university 3+ years of job-related experience. Proficient computer skills in Microsoft-based software products including Word, Excel, and Outlook. Proactive and self-motivated with strong organizational, interpersonal, and written communication skills; and Provide excellent customer service, ability to multi-task, detail oriented, strong organizational and prioritization skills. Seniority level
Seniority level Associate Employment type
Employment type Full-time Job function
Job function Finance Referrals increase your chances of interviewing at Mission Staffing by 2x Sign in to set job alerts for “Compliance Analyst” roles.
New York City Metropolitan Area $130,000.00-$200,000.00 2 weeks ago New York City Metropolitan Area $120,000.00-$140,000.00 1 week ago Brooklyn, NY $52,000.00-$63,500.00 2 months ago New York City Metropolitan Area 1 week ago New York City Metropolitan Area $125,000.00-$145,000.00 2 weeks ago New York City Metropolitan Area 1 day ago New York City Metropolitan Area $100,000.00-$200,000.00 6 days ago Senior Compliance Officer – U.S. Markets Compliance Advisory
New York City Metropolitan Area $125,000.00-$140,000.00 1 week ago New York City Metropolitan Area $120,000.00-$150,000.00 3 weeks ago New York City Metropolitan Area $200,000.00-$250,000.00 1 week ago Compliance Officer/Chief Compliance Officer
New York City Metropolitan Area $100,000.00-$135,000.00 1 week ago Analyst - Compliance; Policies and Standards Office
New York, NY $125,000.00-$150,000.00 4 months ago New York City Metropolitan Area 1 hour ago Compliance Officer, Investment Banking & Capital Markets
New York, NY $175,000.00-$225,000.00 1 day ago Regulatory Affairs Compliance Sr. Specialist
Regulatory Compliance Risk Senior Associate (Internal Audit Banking)
New York, NY $65,000.00-$100,000.00 1 week ago VP AML / OFAC Compliance Officer / Advisory (Financial Security)
New York, NY $120,000.00-$150,000.00 3 weeks ago New York City Metropolitan Area $100,000.00-$140,000.00 2 months ago New York City Metropolitan Area $50.00-$60.00 2 weeks ago New York, NY $125,000.00-$160,000.00 17 hours ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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$70.00/hr - $75.00/hr Direct message the job poster from Mission Staffing Our client, a leading multinational bank based in New York, NY, is seeking a Compliance Associate to assist with the Registrations department with all aspects of the FINRA licensing and registration’s process. This person will be tasked with creating electronic employee folders ensuring proper documents are in place i.e.. fingerprint results, previous employer U5, signed U4, HR background checks, etc. Additional responsibilities include creating FINRA BD/IA user accounts, scheduling FINRA exams, fingerprints (NFA) and ordering study materials. Candidates must be familiar with FINRA licensing/registrations and working knowledge of FINRA Gateway. Responsibilities Include: Create electronic employee folders (ensure proper documents are in the folders (fingerprint results, previous employer U5, snapshot, Arb. Clause, signed U4 and HR background checks). Create draft U4s (using HR background checks). Confirm information on initial and transfer U4s are verified and/or run partial background checks as needed. Research and correct licensing deficiencies. Prepare U4 amendments (change of address, name change, branch offices, outside business disclosures, exam windows, state registrations, etc.). Track Regulatory Element continuing education and escalate when necessary. Track exam status reports and follow-up with employees pending examinations. Assist in scheduling FINRA exams, fingerprints (NFA) and ordering study materials. Create and maintain the FINRA BD/IA user accounts. Assist with the TN professional privilege Tax filings, Nebraska Citizenship Verifications, and annual renewals. Requirements: Familiar with FINRA licensing/registrations and working knowledge of FINRA Gateway. Degree from an accredited university 3+ years of job-related experience. Proficient computer skills in Microsoft-based software products including Word, Excel, and Outlook. Proactive and self-motivated with strong organizational, interpersonal, and written communication skills; and Provide excellent customer service, ability to multi-task, detail oriented, strong organizational and prioritization skills. Seniority level
Seniority level Associate Employment type
Employment type Full-time Job function
Job function Finance Referrals increase your chances of interviewing at Mission Staffing by 2x Sign in to set job alerts for “Compliance Analyst” roles.
New York City Metropolitan Area $130,000.00-$200,000.00 2 weeks ago New York City Metropolitan Area $120,000.00-$140,000.00 1 week ago Brooklyn, NY $52,000.00-$63,500.00 2 months ago New York City Metropolitan Area 1 week ago New York City Metropolitan Area $125,000.00-$145,000.00 2 weeks ago New York City Metropolitan Area 1 day ago New York City Metropolitan Area $100,000.00-$200,000.00 6 days ago Senior Compliance Officer – U.S. Markets Compliance Advisory
New York City Metropolitan Area $125,000.00-$140,000.00 1 week ago New York City Metropolitan Area $120,000.00-$150,000.00 3 weeks ago New York City Metropolitan Area $200,000.00-$250,000.00 1 week ago Compliance Officer/Chief Compliance Officer
New York City Metropolitan Area $100,000.00-$135,000.00 1 week ago Analyst - Compliance; Policies and Standards Office
New York, NY $125,000.00-$150,000.00 4 months ago New York City Metropolitan Area 1 hour ago Compliance Officer, Investment Banking & Capital Markets
New York, NY $175,000.00-$225,000.00 1 day ago Regulatory Affairs Compliance Sr. Specialist
Regulatory Compliance Risk Senior Associate (Internal Audit Banking)
New York, NY $65,000.00-$100,000.00 1 week ago VP AML / OFAC Compliance Officer / Advisory (Financial Security)
New York, NY $120,000.00-$150,000.00 3 weeks ago New York City Metropolitan Area $100,000.00-$140,000.00 2 months ago New York City Metropolitan Area $50.00-$60.00 2 weeks ago New York, NY $125,000.00-$160,000.00 17 hours ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr