Compliance Associate

Assist in administering the firm's compliance program in accordance with SEC, FINRA, and applicable state regulations. Monitor regulatory developments and assess their impact on firm policies and procedures. Conduct compliance reviews and surveillance activities Support branch office and registered representative supervision. Assist with regulatory examinations and inquiries from FINRA, the SEC, and state regulators. Prepare documentation and coordinate responses for regulatory audits and examinations. Perform periodic compliance testing and document findings. Maintain Written Supervisory Procedures (WSPs) and compliance manuals. Review marketing and advertising materials for regulatory compliance. Assist with customer complaint tracking and resolution. Support AML compliance initiatives, including escalations to AML personnel as appropriate. Assist with annual compliance meetings, certifications, and required employee attestations. Coordinate registration and licensing activities, including Form U4/U5 filings and continuing education requirements. Maintain compliance records in accordance with SEC Rule 17a-4 and other applicable recordkeeping requirements. Prepare compliance reports and metrics for senior management. #J-18808-Ljbffr