Broker Dealer Compliance

We are seeking a Broker-Dealer Compliance Associate to join a growing financial services firm.

This role will support the firm’s day-to-day compliance program and help ensure adherence to FINRA regulations and internal supervisory requirements.

Responsibilities

• Support the firm’s day-to-day broker-dealer compliance program.
• Conduct compliance reviews, surveillance and monitoring of brokerage activity.
• Review transactions and account activity for potential regulatory or policy concerns.
• Assist with FINRA filings, examinations and regulatory inquiries.
• Support the maintenance and testing of Written Supervisory Procedures (WSPs).
• Review communications and business activity for compliance with FINRA requirements and firm policies.
• Assist with branch and supervisory reviews.
• Identify and escalation potential compliance issues and assist with remediation.
• Maintain required compliance records and documentation.
• Assist with regulatory testing, risk assessments and internal compliance reviews.
• Monitor FINRA regulatory developments and assist with updates to policies and procedures.
• Partner with Operations and other internal teams on compliance matters.

Qualifications

• 3+ years of broker-dealer compliance experience preferred.
• Active Series 7 license required.
• Strong working knowledge of FINRA rules and broker-dealer compliance requirements.
• Experience with compliance surveillance, monitoring, testing or supervisory reviews.
• Familiarity with WSPs and FINRA examination requirements.
• Strong analytical skills and attention to detail.
• Excellent written and verbal communication skills.