Compliance Associate – Financial Services

Location:

Onsite

Schedule:

Full‑time, Monday–Friday

Compensation: $60,000–$80,000 annually

The Compliance Associate serves as an independent and objective resource responsible for evaluating and supporting compliance initiatives throughout the organization. This role helps ensure adherence to FINRA, SEC, and internal regulatory standards while partnering closely with advisors and internal teams.

The ideal candidate enjoys problem‑solving, process improvement, and helping others navigate compliance requirements effectively and professionally.

• Manage and implement compliance and regulatory policies and procedures.
• Develop and maintain corrective action plans related to audits or compliance findings.
• Assist with policy and procedure development to ensure regulatory compliance.
• Conduct branch audits and compliance reviews as needed.
• Respond to advisor, clearing firm, and internal staff inquiries.
• Support FINRA and SEC audits for Broker/Dealer and Registered Investment Advisor operations.
• Coordinate and manage special projects, presentations, communications, and reporting initiatives.
• Maintain current industry knowledge through continuing education and professional development.
• Perform additional duties as assigned.

• Bachelor’s degree in Finance, Accounting, or related field preferred.
• Minimum 3 years of experience in compliance, internal audit, external audit, internal controls, or related areas preferred.
• Strong organizational skills and exceptional attention to detail.
• Ability to work independently and manage multiple priorities.
• Excellent written and verbal communication skills.
• Ability to handle confidential and sensitive information professionally.
• Strong analytical, reasoning, and critical thinking abilities.
• Proficiency with Microsoft Office Suite, especially Excel, Word, and Outlook.
• Project management and process improvement experience preferred.
• Bilingual English/Spanish preferred.

Candidates must currently hold, or be able to quickly obtain after hire:

• FINRA Series 7
• Series 65 or 66
• Series 24
• Series 53
• Resident Insurance Producer License

This position operates in a professional office environment and primarily involves sedentary work using standard office equipment. Occasional filing, lifting files, bending, or standing may be required.

• 401(k) with company match
• Health insurance
• Dental insurance
• Vision insurance
• Health savings account (HSA)
• Life insurance
• Paid time off
• Professional development assistance

Full‑time onsite position. Standard business hours: 8:00 AM – 5:00 PM or 7:30 AM – 4:30 PM.