COMPLIANCE ASSOCIATE

Description Non-exempt 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 Qualifications: Bachelor's degree or equivalent experience required; 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 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 Registration is not required for this role; Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities Physical Requirements: Standing or sitting for extended periods of time in an office environment Working on a computer for extended periods of time Lifting up to 15 pounds #J-18808-Ljbffr