Associate/Assistant Vice President - Compliance (Finra Registration & Central Compliance Generalist)

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.

To learn more about PJT Partners, please visit our website at www.pjtpartners.com.

Responsibilities

This is a great opportunity for a Compliance professional who has a strong background in registration and licensing and is a highly motivated and proven self-starter who can work independently and as part of a team. Primary responsibilities of the successful candidate include:

• 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

Qualifications

We seek to hire individuals who are highly motivated, intelligent, and are proven self-starters. The successful candidates should have excellent communication skills, a demonstrated ability to write effectively, and a desire to work in a team environment. The ideal candidate would have at least 5 years of compliance experience within the financial services industry (preferably at a broker dealer in a similar role) and meet the following qualifications:

• 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

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

PJT is an equal opportunity employer. We do not discriminate on the basis of, and will consider all qualified applicants for employment without regard to race, color, religious creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, martial or partnership status, sexual orientation, gender identity expression, disability, medical condition, genetic information or predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other category protected by law. PJT Partners also complies with all applicable laws with regard to providing reasonable accommodation of disabilities to applicants. For more information or to request an accommodation, please contact Human Resources.

California Applicants: PJT Partners will consider for employment qualified applicants with arrest and/or conviction records in a manner consistent with applicable law including, but not limited to, the San Francisco Fair Chance Ordinance and/or Los Angeles Fair Chance Initiative for Hiring Ordinance.

https://pjtpartners.com/applicant-privacy-notice

• In order to be considered, please ensure your resume/CV is submitted in PDF format.