Associate/Assistant Vice President - Compliance (Registration Specialist)

PJT Partners • New York, NY

99d • $95,000 - $110,000

About The Position

PJT Partners is a global advisory-focused investment bank. Our team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We offer a unique portfolio of advisory services designed to help our clients achieve their strategic objectives. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds. From the beginning, PJT Partners has firmly believed that having the best people is key to building an enduring franchise. Our perspective was, and remains, that a great team brings in both top tier clients and appeals to a wide-range of diverse, talented colleagues. Fostering an inclusive culture, which welcomes differing perspectives and beliefs, enables us to provide the best advice and insights to our clients.

Requirements

• At least 5 years of compliance experience within the financial services industry (preferably at a broker dealer in a similar role).
• Bachelor’s degree.
• Proficient in using FINRA Gateway/WebCRD electronic filing systems.
• Strong Microsoft Office skills, specifically Word, Excel and PPT.
• Strong working knowledge of SEC, FINRA, and state registration rules, regulations, and filing requirements.
• Demonstrates a collaborative mindset and the ability to effectively partner with internal and external stakeholders.
• Ability to manage multiple priorities and high volumes of work while consistently delivering the highest quality results.
• Ability and desire to get up to speed quickly with new or unfamiliar subject matter.
• Ability to work under pressure and to fixed, tight deadlines.
• Ability to identify and promptly escalate issues where appropriate.
• Strong analytical, prioritization and organization skills.
• Strong risk and control awareness.

Responsibilities

• Serve as a key member of the Central Compliance team, managing accurate and complete SEC and FINRA registration records for PJT Partners LP and its registered representatives.
• Completing required onboarding validations of Form U4.
• Processing of Form U4, and U5 filings in a timely manner as required.
• Accurately tracking pending licensing exams and coordinating study materials and examinations.
• Tracking continuing education requirements and other required training, sending reminder notifications and escalating matters as applicable.
• Producing periodic reporting for senior management.
• Managing the regulatory requirements, including assessments and filings, related to residential remote work locations.
• Managing and reviewing attestations related to regulatory obligations.
• Monitoring and evaluating gifts requests and disclosures.
• Developing, implementing, and maintaining Central Compliance operating procedures.
• Facilitating timely responses to regulatory, audit or testing inquiries or requests.
• Monitoring and interpreting registrations related regulatory changes and industry trends, advising compliance leadership on potential impacts and required actions.

Benefits

• Expected Annualized Base Salary of $95,000 - $110,000.

What This Job Offers

• Education Level: Bachelor's degree