Associate Compliance Officer - Broker Dealer

Aurora Securities, Inc. is seeking an experienced and highly motivated Associate Compliance Officer to support the firm's Chief Compliance Officer (CCO) in overseeing and enhancing the firm's regulatory compliance and supervisory programs. This position offers the opportunity to play a key leadership role within a growing financial services organization supporting both Broker-Dealer and RIA compliance operations. This is an excellent opportunity for a high-performing compliance professional with strong broker-dealer and Registered Investment Advisor (RIA) experience who thrives in a fast-paced, collaborative environment. The ideal candidate will possess deep knowledge of FINRA and SEC regulations, strong analytical and organizational skills, and the ability to work across multiple business lines and departments. Experience with alternative investments, including private placements, DSTs, REITs, interval funds, and other alternative products is strongly preferred. The Associate Compliance Officer will report directly to the Broker-Dealer's Chief Compliance Officer while also supporting compliance initiatives for our affiliated SEC Registered Investment Advisor, Secure Asset Management. Key ResponsibilitiesBroker-Dealer & RIA Compliance Oversight Assist with the day-to-day administration of the broker-dealer and RIA compliance programs Support registration and licensing functions for registered representatives Monitor and supervise registered representative activities Assist with training and education initiatives related to compliance and regulatory requirements Conduct supervisory reviews of direct business lines, including: Variable annuities Mutual funds 529 plans Variable life insurance Alternative investments and private placements Policies, Procedures & Regulatory Support Assist with the development, implementation, maintenance, and enforcement of firm policies and procedures Recommend and help implement updates to Written Supervisory Procedures (WSPs) and internal compliance controls Support programs involving: AML CIP Business Continuity Planning (BCP) Insider trading Personal trading/accounts Email surveillance Branch audits Operational compliance Surveillance, Reviews & Testing Perform email surveillance reviews and escalate matters as appropriate Review advertising, sales materials, and business communications for regulatory compliance Conduct branch and non-branch office inspections Conduct business practice reviews and investigate sales practice concerns Assist with internal and third-party/vendor testing and examinations Assist with periodic testing and verification of compliance programs Regulatory Filings & Examinations Assist with regulatory filings and reporting, including: Form U4 Form U5 Form BR NRF filings Support FINRA and SEC examinations and responses Assist with implementation of new regulatory requirements and evolving industry guidance Risk Management & Strategic Compliance Initiatives Identify, assess, and manage compliance risks related to: Regulatory developments Industry trends Customer requirements Business initiatives Assist with development and launch of new business lines and products Evaluate regulatory impacts and FINRA approval requirements for strategic initiatives Collaborate cross-functionally with operations, leadership, and advisors to support business objectives while maintaining regulatory compliance Qualifications Required Experience & Skills Experience working within a FINRA registered broker-dealer and/or SEC Registered Investment Advisor Strong understanding of: FINRA rules and regulations SEC regulations Broker-dealer supervisory requirements RIA compliance obligations Experience with compliance monitoring systems, surveillance tools, and regulatory reporting Strong organizational, analytical, and problem-solving skills Ability to manage multiple priorities in a fast-paced environment Excellent written and verbal communication skills Strong attention to detail and professional judgment FINRA Series 24 license required FINRA Series 53 license preferred Preferred Qualifications Previous experience supporting a Chief Compliance Officer or senior compliance leadership Experience conducting branch examinations and sales practice reviews Familiarity with AML compliance programs and regulatory testing Knowledge of strategic planning, operational processes, and business management principles Experience reviewing and supervising alternative investments, including private placements, DSTs, REITs, and other non-traded products preferred

Pay:

$75,000.00 - $99,500.00 per year

Benefits:

401(k) Health insurance Paid time off Professional development assistance

License/Certification:

Series 24 (Required) Series 53 (Preferred)

Work Location:

In person