Compliance Associate
Great Valley Advisor Group
Job Description
Job Description
Summary:
The Compliance Associate supports GVA's Compliance Department by assisting with regulatory and supervisory processes that help advisors meet federal and state securities regulations, FINRA, SEC, and firm policies. This position works closely with advisors and internal departments to ensure compliance requirements are met while providing exceptional customer service.
Essential Job Functions
• Assist with day-to-day compliance reviews and administrative activities.
• Review account documentation for completeness and regulatory requirements.
• Monitor and track compliance requests, approvals, and outstanding items.
• Assist with advertising and marketing material reviews.
• Support new advisor onboarding and registration processes.
• Help maintain advisor licensing and registration records.
• Respond to advisor compliance inquiries in a timely and professional manner.
• Assist with branch inspections, audits, and regulatory examinations.
• Maintain compliance documentation and electronic records.
• Monitor regulatory changes and assist with implementation of new policies and procedures.
• Prepare reports and compliance metrics for leadership.
• Participate in special projects and process improvement initiatives.
Qualifications, Experience, and Education
• Bachelor’s degree in Finance, Economics, Business, Accounting, or a related field preferred, or equivalent combination of education and experience.
• 1-3 years of experience in financial services, compliance, operations, or a related field preferred.
Vacancy posted 18 days ago
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