Broker-Dealer Compliance Specialist FINRA & Surveillance
Ascendo Resources
Ascendo Resources seeks a Broker-Dealer Compliance Associate to join a growing financial services firm in the Miami area. You will support day-to-day compliance programs, monitor brokerage activity, review transactions, and assist with FINRA filings and inquiries. The role requires 3+ years in broker-dealer compliance, an active Series 7 license, and strong knowledge of FINRA rules. Collaboration with Operations and other teams is essential. #J-18808-Ljbffr Ascendo Resources
Vacancy posted 2 days ago
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