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
...Job Title: Creative Project Manager Position OverviewShaw Industries Group, Inc. is a leader in flooring and other surface solutions designed for residential housing, commercial spaces and outdoor environments. Leveraging strengths in design, innovation and operational...
Neighborhood Legal Services of Los Angeles County (NLSLA) seeks a Staff Attorney/Mediator to provide high-quality mediation services within the Van Nuys Eviction Diversion Pilot Program. You will work as a neutral third party to support eviction prevention through mediation...
We are looking for a Data Analyst to join a financial services organization in Moline, Illinois on a contract-to-permanent basis. In this role, you will turn business questions into clear technical requirements and help teams use data to make informed decisions. You will...
...(40/hr weekly) Qualifications: Required Education: Graduated from a school of nursing (associate's degree, Diploma, or BSN). Preferred Education: Masters degree in nursing, MHA, or MBA. Required Experience: 2+ years of Palliative Care experience...
Housebuildr Inc is seeking an Energy Consultant - Entry Level to represent us in residential neighborhoods, educating homeowners on energy-saving options and setting qualified appointments for senior consultants.No solar experience is requiredtraining, scripts, and daily...