Compliance Associate - FINRA

TIAA • Frisco, TX

3d • $64,700 - $82,800 • Onsite

About The Position

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

Requirements

• At least 2 years of work experience.
• FINRA Series 7 and Series 24 registrations.
• Sedentary work physical requirements.
• Related skills include adaptability, business process understanding, compliance, compliance trends, critical thinking, attention to detail, influence, relationship management, risk monitoring, and strategic thinking.

Nice To Haves

• University degree preferred.
• At least 3 years of work experience 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 ensure deficiencies are corrected.
• Draft reports on the results of business unit compliance and ethics initiatives.
• Maintain documentation of compliance activities so issues are recorded and documents are accessible and retrievable.
• Assist with implementing preventative measures and compliance processes, and contribute to revising policies and procedures to improve business unit compliance programs.

Benefits

• Comprehensive Total Rewards package.
• Superior retirement program.
• Competitive health, wellness, and work-life offerings.
• Compensation may include participation in a performance-linked incentive program, depending on the role.

What This Job Offers

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