Compliance Associate - Financial Services - Remote

COMPLIANCE ASSOCIATE – FINANCIAL SERVICES

Location: Remote (Initial 2-Week Onsite Training in Illinois)

Schedule: Full-Time | Monday – Friday

COMPENSATION

• Salary: $60,000 - $90,000 annually

• Eligibility for salary increases.

• Quarterly and annual bonus opportunities.

JOB SUMMARY

Our client is a growing financial services organization with strong internal standards, a collaborative culture, and outstanding opportunities for long-term career growth. They are seeking a detail-oriented and proactive Compliance Associate to support regulatory compliance initiatives across the organization.

This is an excellent opportunity for professionals looking to advance their careers in compliance, financial services, broker/dealer operations, or regulatory oversight.

The Compliance Associate serves as an independent and objective resource responsible for evaluating, implementing, and supporting compliance initiatives while ensuring adherence to FINRA, SEC, and internal regulatory standards. This role works closely with financial advisors and internal departments to promote regulatory excellence and operational integrity.

RESPONSIBILITIES

• Manage and implement compliance policies, procedures, and regulatory initiatives.

• Develop and maintain corrective action plans resulting from audits or compliance findings.

• Assist in the development and ongoing maintenance of company policies and procedures to ensure regulatory compliance.

• Conduct branch audits and compliance reviews as needed.

• Respond to questions from financial advisors, clearing firms, and internal staff regarding compliance matters.

• Support FINRA and SEC audits for Broker/Dealer and Registered Investment Advisor (RIA) operations.

• Coordinate special projects, presentations, compliance communications, and reporting initiatives.

• Maintain current knowledge of industry regulations through continuing education and professional development.

• Perform additional compliance and operational duties as assigned.

QUALIFICATIONS

• Bachelor's degree in Finance, Accounting, Business, or a related field preferred.

• Minimum of 3 years of experience in compliance, internal audit, external audit, internal controls, or a related field preferred.

• Strong organizational skills with exceptional attention to detail.

• Ability to work independently while effectively managing multiple priorities.

• Excellent written and verbal communication skills.

• Ability to handle confidential and sensitive information with professionalism and discretion.

• Strong analytical, critical thinking, and problem-solving abilities.

• Proficiency with Microsoft Office Suite, including Excel, Word, and Outlook.

• Project management and process improvement experience preferred.

• Bilingual English/Spanish is preferred.

REQUIRED LICENSES & CERTIFICATIONS

Candidates must currently hold, or be able to obtain shortly after hire:

• FINRA Series 7 License.

• Series 65 or Series 66 License.

• Series 24 License.

• Series 53 License.

• Resident Insurance Producer License.

BENEFITS

• Competitive salary with opportunities for merit increases.

• Quarterly and annual performance bonuses.

• 401(k) retirement plan with company match.

• Medical insurance.

• Dental insurance.

• Vision insurance.

• Health Savings Account (HSA).

• Life insurance.

• Paid Time Off (PTO).

• Professional development assistance.

• Industry licensing and certification support.

• Continuing education assistance.

WORK SCHEDULE

• Full-time remote position.

• Two-week onsite training in Illinois at the start of employment.

• Standard business hours:

• 8:00 AM – 5:00 PM, or

• 7:30 AM – 4:30 PM

ABOUT THE COMPANY

Our client is a growing financial services organization committed to maintaining the highest standards of regulatory compliance, operational excellence, and client service. They foster a collaborative, team-oriented culture where employees are encouraged to grow professionally while contributing to the success of the organization.

This is an outstanding opportunity to join a company that invests in its people through ongoing education, licensing support, career advancement opportunities, and a strong commitment to professional development.