COMPLIANCE ASSOCIATE
About The Position
This is a non-exempt role. Specific job duties include, but are not limited to: Providing relationship management services to financial professionals by phone, via email, and in person. Entering and tracking advertising and correspondence submissions via communications review tool. Monitoring financial professional communications and activities, including annual compliance questionnaires, firm element training, and securities registration renewals. Managing the broker dealer onboarding process for internal and network office staff members. Triaging the supervision team email inbox. Maintaining associated compliance records in Salesforce CRM. Assisting with external audit preparation and follow-up tasks. Reassigning orphan accounts; establishing the correct codes associated with the assignment as needed.
Requirements
- Bachelor's degree or equivalent experience required
- Strong organizational and time management skills required
- Ability to work both independently and with a team
- Aptitude for completing tasks within structured deadlines
- Excellent oral and written communication skills required
- Strong attention to detail with the ability to work efficiently & accurately
Nice To Haves
- finance or business-related degree preferred
- Broker-Dealer, RIA, and/or OSJ office financial services experience preferred
- basic understanding of financial industry regulations highly desired
- Familiarity with Salesforce CRM system a plus
- Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities
Responsibilities
- Providing relationship management services to financial professionals by phone, via email, and in person
- Entering and tracking advertising and correspondence submissions via communications review tool
- Monitoring financial professional communications and activities, including annual compliance questionnaires, firm element training, and securities registration renewals
- Managing the broker dealer onboarding process for internal and network office staff members
- Triaging the supervision team email inbox
- Maintaining associated compliance records in Salesforce CRM
- Assisting with external audit preparation and follow-up tasks
- Reassigning orphan accounts; establishing the correct codes associated with the assignment as needed
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
