Compliance Associate

About the Opportunity:

A growing broker-dealer is looking to add a Compliance Associate to its team in Boca Raton, FL. This is an opportunity to join a developing organization and gain broad exposure to the firm's day-to-day compliance program while working closely with business, operations, and supervisory teams.

The ideal candidate will have experience within a FINRA-regulated broker-dealer environment and a solid understanding of regulatory requirements.
Active Series 7 and Series 24 licenses are required.

• Support the firm's day-to-day compliance program and regulatory requirements.
• Monitor business activities for compliance with FINRA, SEC, and other applicable rules and regulations.
• Assist with compliance reviews, testing, surveillance, and monitoring activities.
• Help maintain and update written supervisory procedures and compliance policies.
• Partner with business and operations teams to identify and address potential compliance issues.
• Assist with regulatory filings, examinations, audits, and information requests.
• Review transactions, account activity, communications, and other business activities for potential regulatory concerns.
• Assist with identifying compliance risks and implementing appropriate controls and process improvements.
• Maintain accurate compliance records and documentation.
• Stay informed on regulatory developments and help assess their impact on the business.
• Support compliance training and other internal initiatives as needed.

• Active Series 7 and Series 24 licenses required.
• 5+ years of relevant compliance experience within a broker-dealer or regulated financial services environment.
• Working knowledge of FINRA, SEC, and broker-dealer regulatory requirements.
• Experience with compliance monitoring, surveillance, testing, or supervisory procedures.
• Strong attention to detail and ability to identify potential regulatory and operational risks.
• Excellent written and verbal communication skills.
• Ability to work independently while collaborating effectively with internal teams.
• Bachelor's degree preferred.

• Join a growing broker-dealer with an opportunity to make an impact.
• Gain broad exposure to broker-dealer compliance and regulatory functions.