Compliance Associate

A financial services firm is looking for a Compliance Associate to join its regulatory compliance team. This is a broad-based role covering securities compliance, employee conduct, regulatory registrations, monitoring, examinations, and compliance program administration.

The position is well suited for someone with broker-dealer compliance experience who enjoys a varied workload and regular interaction with employees and business partners.

Responsibilities

• Coordinate securities licensing and registration matters, including onboarding, updates, renewals, and departures.


• Monitor employee compliance requirements, including personal securities transactions, conflicts, restricted securities, and related approvals.


• Oversee required continuing education, annual certifications, and other recurring employee compliance obligations.


• Assist with compliance training for new and existing employees and track completion requirements.


• Review employee Gifts & Entertainment activity and administer associated disclosures and approvals.


• Perform communications monitoring and other surveillance activities, research exceptions, and escalate potential concerns.


• Assist with responses to FINRA and other regulatory requests, including collecting records and preparing supporting documentation.


• Participate in regulatory and branch examinations and help coordinate document production and employee preparation.


• Update policies, procedures, and internal guidance to reflect regulatory developments and evolving business activities.


• Recommend improvements to compliance processes, controls, and reporting mechanisms.


• Provide compliance support for new systems and technology initiatives, including the responsible use of AI and appropriate user-access controls.


• Work closely with business and control functions to resolve compliance matters and maintain an effective regulatory framework.

Qualifications

• Prior experience in broker-dealer, securities, or financial services compliance.


• Practical understanding of FINRA rules and broker-dealer regulatory requirements.


• Experience in one or more areas such as licensing and registrations, employee compliance, surveillance, regulatory examinations, or regulatory inquiries.


• Ability to interpret regulations and develop clear, practical compliance guidance.


• Strong writing, analytical, organizational, and problem-solving skills.


• High attention to detail and ability to manage competing priorities and deadlines.


• Strong interpersonal skills with the ability to work effectively across different levels of an organization.