Compliance Registration Associate

David Lerner Associates • Syosset, NY • 3w ago

David Lerner Associates (DLA), a leading investment firm headquartered in Syosset NY for nearly 50 years, is currently seeking a Compliance Registration Associate to support our Compliance team with various administrative tasks associated with the licensing and registration of our FINRA (Financial Industry Regulatory Authority) members. This is a great opportunity to gain entry-level experience in Financial operations! The Compliance Registration Associate works closely with the Sr. Compliance Officer and Chief Compliance Officer to ensure that all DLA employees are properly registered per FINRA rules and applicable state laws. The job responsibilities include preparing and processing filings including initial registrations, terminations, amendments, and reportable events. You will respond to internal inquiries related to registration issues and act as liaison between our brokers and FINRA. This position is the administrative center of the Compliance department, and requires excellent recordkeeping, filing, and maintenance of highly confidential information, as well as providing general clerical support to senior department members. We offer hands-on training and would like to see whomever we hire grow to achieve their own FINRA licensing and increase their responsibilities to one day become a Compliance Officer. Are you up to the challenge?We require a high school diploma and administrative experience, but preference will be given to those with a college degree and/or any relevant experience in financial services or a broker-dealer setting. A Series 7 FINRA license is a huge plus! Proficiency with Microsoft Word, Outlook, and Excel spreadsheets is necessary.This is a full-time position, Monday-Friday 9a-5p. We are currently working in the office but retain WFH capabilities as needed. Training will take place in person with experienced Compliance staff.Our benefits include Medical, Dental, HRA, FSA, company-paid Life/AD&D/LTD coverage, and 401k with company match. We offer generous PTO and a 35-hour workweek along with a strong family-business collaborative atmosphere.David Lerner Associates is an equal opportunity employer-reasonable accommodations may be made to enable individuals to perform essential functions.

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