Compliance Associate

Job Overview The Compliance Associate supports the firm's Compliance Program by assisting with day-to-day regulatory oversight, surveillance, and compliance operations in accordance with SEC, FINRA, MSRB, and applicable state regulations. This role is responsible for executing core compliance functions, supporting regulatory filings and examinations, and assisting senior compliance personnel in maintaining a strong culture of compliance across the firm. Responsibilities Assist in the execution of the firm's Compliance Program, including surveillance reviews, trade reviews, and monitoring of firm activity for regulatory compliance. Review communications with the public, correspondence, and marketing materials for compliance with FINRA Rule 2210 and firm policies. Support branch office supervision, including assistance with branch reviews, exception tracking, and remediation follow-up. Assist with regulatory filings and submissions, including Form U4/U5 amendments, Form 4530 filings, and continuing education tracking. Participate in preparation of responses to regulatory examinations. Review outside business activities and private securities transactions. Maintain accurate compliance documentation. Support updates to Written Supervisory Procedures. Assist with compliance training initiatives. Provide day-to-day compliance support to business units.

Requirements Education:

Bachelor's degree in Finance, Business Administration, Accounting, or related field.

Licensing:

FINRA Series 7 required; Series 24, 63, or 66 preferred.

Experience:

3-6 years of broker-dealer compliance experience.

Skills:

Strong regulatory knowledge, attention to detail, communication, and organizational skills.

Job Type:

Full-time Pay:

$95,000.00 - $110,000.00 per year

Benefits:

401(k) Dental insurance Health insurance Paid time off

License/Certification:

Series 7 (Required) Series 24 (Preferred)

Work Location:

In person