Compliance Associate - FINRA

TIAA • Frisco, TX

2d • Onsite

About The Position

The Compliance Associate assists with broader planning of business unit compliance programs to help ensure the organization complies with relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices. Working independently under general supervision, this role supports team members in identifying, investigating, and reporting compliance risks.

Requirements

• At least 2 years of required work experience.
• FINRA Series 7 and Series 24 registrations.

Nice To Haves

• At least 3 years of work experience preferred.
• University degree preferred.

Responsibilities

• Support compliance risk assessments to identify compliance issues, concerns, and deficiencies.
• Assist with investigations in response to complaints and potential violations of rules, regulations, policies, and procedures.
• Support the organization and implementation of compliance audits.
• Assist with designing and implementing corrective action plans to resolve compliance issues and correct deficiencies.
• Draft reports on the results of business unit compliance and ethics initiatives.
• Maintain documentation of compliance activities to record issues and enable easy access and retrieval.
• Assist with implementing preventative measures and compliance processes.
• Contribute to revising policies and procedures to improve business unit compliance programs as needed.

Benefits

• A superior retirement program.
• Competitive health, wellness, and work-life offerings.
• A compensation package that may include participation in an incentive program linked to performance, depending on the role.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level