PJT Partners · 2 weeks ago
Associate/Assistant Vice President - Compliance (FINRA Registration & Central Compliance Generalist)
New York, United States
Full-time
Onsite
Mid, Senior Level
$95K/yr - $110K/yr
5+ years expPJT Partners is a global advisory-focused investment bank that provides a wide array of strategic advisory services. They are seeking a Compliance professional to manage SEC and FINRA registration records, ensure compliance with regulatory requirements, and facilitate timely responses to inquiries or requests.
AdviceAsset ManagementConsultingFinancial ServicesOil and GasReal Estate Investment
Hiring Manager
Vennesa Asare
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
Qualification
Required
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
Preferred
At least 5 years of compliance experience within the financial services industry (preferably at a broker dealer in a similar role)
Company
PJT Partners
PJT Partners is an investment banking firm that provides asset management, debt execution, strategic advisory, and fundraising services.
501-1000 employees
H1B Sponsorship
PJT Partners has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (71)
2024 (79)
2023 (77)
2022 (57)
2021 (49)
2020 (28)
Funding
Current Stage
Public CompanyTotal Funding
unknownKey Investors
Corsair Capital
2018-08-28Post Ipo Equity
2015-10-02IPO
Leadership Team
Chris Holt
Partner
Don Cornwell
Member Board of Directors
Recent News
2025-11-11
2025-11-09
DBusiness Magazine
2025-11-05
Company data provided by crunchbase