Compliance Associate
Sowell Management•North Little Rock, AR
458d•$55,000 - $65,000
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About The Position
The Compliance Associate at Sowell Management is responsible for ensuring compliance with all regulatory rules and regulations, as well as federal and state laws. This role involves onboarding new investment advisor representatives (IARs) and registered investment advisors (RIAs), reviewing advertising materials, and maintaining compliance documentation. The position emphasizes teamwork, commitment to excellence, and adherence to the company's core values.
