Broker Dealer Compliance

We are seeking a Broker-Dealer Compliance Associate to join a growing financial services firm. This role will support the firm’s day-to-day compliance program and help ensure adherence to FINRA regulations and internal supervisory requirements. Responsibilities Support the firm’s day-to-day broker-dealer compliance program. Conduct compliance reviews, surveillance and monitoring of brokerage activity. Review transactions and account activity for potential regulatory or policy concerns. Assist with FINRA filings, examinations and regulatory inquiries. Support the maintenance and testing of Written Supervisory Procedures (WSPs). Review communications and business activity for compliance with FINRA requirements and firm policies. Assist with branch and supervisory reviews. Identify and escalation potential compliance issues and assist with remediation. Maintain required compliance records and documentation. Assist with regulatory testing, risk assessments and internal compliance reviews. Monitor FINRA regulatory developments and assist with updates to policies and procedures. Partner with Operations and other internal teams on compliance matters. Qualifications 3+ years of broker-dealer compliance experience preferred. Active Series 7 license required. Strong working knowledge of FINRA rules and broker-dealer compliance requirements. Experience with compliance surveillance, monitoring, testing or supervisory reviews. Familiarity with WSPs and FINRA examination requirements. Strong analytical skills and attention to detail. Excellent written and verbal communication skills. #J-18808-Ljbffr Ascendo Resources