Compliance Associate

Job Description

Job Description

About the Role

Quincy Wells Group is seeking a Compliance Associate to support our compliance function across both our Broker Dealer and Registered Investment Advisor (RIA) businesses. Reporting directly to the Chief Compliance Officer (CCO), this role is designed to increase operational capacity within the compliance department, enhance coordination across affiliated entities, and support the ongoing execution of the firm's regulatory and supervisory responsibilities.

 

This position offers a unique opportunity to gain exposure to multiple regulatory frameworks while working closely with senior leadership across the organization.

 

What You'll Do

Core Responsibilities

· Assist the CCO with the administration and execution of the compliance program across both the Broker Dealer and RIA

· Support ongoing compliance monitoring, testing, surveillance, and supervisory activities

· Prepare documentation and coordinate responses for regulatory examinations, audits, and internal reviews

· Maintain compliance logs, regulatory records, attestations, certifications, and compliance calendars

· Coordinate with Broker Dealer and RIA leadership to support firm-wide compliance initiatives

· Track remediation efforts, open action items, and compliance-related projects through completion

· Assist with policy and procedure development, updates, and employee compliance training

· Support licensing, registrations, vendor oversight, and regulatory filing requirements

 

Additional Responsibilities

· Assist in monitoring regulatory developments and industry best practices

· Support implementation of compliance technology, workflow improvements, and reporting tools

· Participate in special projects and cross-functional initiatives as assigned

· Help maintain a culture of compliance and regulatory awareness throughout the organization

· Provide administrative and operational support to the compliance department as needed

 

What We're Looking For

Qualifications

· Bachelor's degree in Finance, Business, Legal Studies, or a related field

· 2–5 years of experience in compliance, supervision, regulatory support, or a related financial services role

· Familiarity with Broker Dealer and/or RIA regulatory environments

· Strong organizational and project management skills

· Excellent written and verbal communication abilities

· Proficiency with Microsoft Office and compliance-related technology platforms

· Ability to maintain confidentiality and exercise sound judgment

 

Personal Attributes

· Detail-oriented with a commitment to accuracy and consistency

· Highly organized and capable of managing multiple priorities simultaneously

· Collaborative team player who communicates effectively across departments

· Proactive, dependable, and solution-oriented

· Strong sense of accountability and professionalism

· Eager to learn and grow within a dynamic financial services environment

 

Success in This Role

You'll thrive in this position if you enjoy working in a highly regulated environment, excel at organization and follow-through, can balance multiple priorities, and are committed to supporting a culture of compliance and operational excellence. Success will require strong communication skills, attention to detail, and the ability to collaborate effectively across multiple business entities.

\nCompany Description

Quincy Wells Group is a newly established, holistic wealth management firm that launched on January 1, 2026. With over three decades of experience in the financial services industry, the managing partners of Quincy Wells Group have assembled an experienced and diverse team across diligence, operations, compliance, and advisory functions. Our mission is to provide exceptional service to our clients, representatives, advisors, and business partners through a culture of accountability, collaboration, and continuous improvement.

Company Description

Quincy Wells Group is a newly established, holistic wealth management firm that launched on January 1, 2026. With over three decades of experience in the financial services industry, the managing partners of Quincy Wells Group have assembled an experienced and diverse team across diligence, operations, compliance, and advisory functions. Our mission is to provide exceptional service to our clients, representatives, advisors, and business partners through a culture of accountability, collaboration, and continuous improvement.