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
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.
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
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