COMPLIANCE ASSOCIATE

Job Description

Job Description

Description:

Non-exempt

Specific job duties include, but are not limited to:

• Providing relationship management services to financial professionals by phone, via email, and in person
• Entering and tracking advertising and correspondence submissions via communications review tool
• Monitoring financial professional communications and activities, including annual compliance questionnaires, firm element training, and securities registration renewals
• Managing the broker dealer onboarding process for internal and network office staff members
• Triaging the supervision team email inbox
• Maintaining associated compliance records in Salesforce CRM
• Assisting with external audit preparation and follow-up tasks
• Reassigning orphan accounts; establishing the correct codes associated with the assignment as needed

Qualifications:

• Bachelor's degree or equivalent experience required; finance or business-related degree preferred
• Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding of financial industry regulations highly desired
• Familiarity with Salesforce CRM system a plus
• Strong organizational and time management skills required
• Ability to work both independently and with a team
• Aptitude for completing tasks within structured deadlines
• Excellent oral and written communication skills required
• Strong attention to detail with the ability to work efficiently & accurately
• Registration is not required for this role; Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities

Physical Requirements:

• Standing or sitting for extended periods of time in an office environment
• Working on a computer for extended periods of time
• Lifting up to 15 pounds