Compliance Associate

Job Title: Compliance Associate

Location: Baltimore, MD

Duration: Contract 12 months+

Pay Rate: $25/hour - Hybrid

Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm’s invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policymakers and the regulatory and self-regulatory agencies that govern the Firm’s businesses.

Primary Job Responsibilities

The position will be responsible for supporting all aspects of the registration and licensing processes to ensure that the regulatory requirements for the Firm and its registered employees are compliant. The individual will also be responsible for helping to maintain registration records and procedures; assist with the review and interpretation of disclosure records for current and prospective employees; and ensure licensing requirements for all registered employees have been satisfied. Other related responsibilities include:

• Develop, maintain, or enhance securities licensing processes and procedures.
• Respond to regulatory and registration requests.
• Support process workflows and the systems utilized to associate registered individuals.
• Handle resolution of escalated matters
• Assist with targeted projects and support strategic initiatives.

Qualifications

• Education level: Bachelor's Degree or higher
• Legal and/or Compliance experience preferred.
• Familiar with Microsoft platform tools (Outlook, Excel, PowerPoint, etc.)
• Must be highly organized, detailed oriented, and comfortable working both independently and within a team environment.
• Must be self-motivated, driven, proactive, and possess strong communication and analytical skills.
• Must be able to manage multiple tasks and prioritize workflow with minimal supervision.
• Strong project management skills including critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines.