Compliance Associate - Broker-Dealer

Overview This role supports the compliance program of a dually registered broker-dealer and investment adviser. This role is responsible for ensuring adherence to regulatory requirements and internal policies, supporting day-to-day compliance operations, assisting with regulatory audits, and internal reviews. Responsibilities Monitor and interpret FINRA, SEC, and state regulatory developments and assess their impact on the firm Conduct communications and trade surveillance reviews to ensure compliance with firm policies and regulatory requirements Provide compliance training and guidance to business units and registered representatives. Assist with updating firm policies and procedures manuals Assist with the review of marketing materials Plan, schedule, and conduct virtual and onsite audits of branch offices to ensure adherence to established policies and procedures Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators Collaborate with legal, operations, and supervisory teams to address compliance issues and implement correction actions Provide cross-functional support to different teams within the department based on shifting priorities and business needs Qualifications 5 years of progressively responsible, related work experience (experience with compliance, regulatory frameworks, policies and procedures, or a closely related area within the financial services industry) Strong knowledge of rules, laws and regulations relevant to securities compliance and communications, including FINRA, SEC and state laws rules and regulations for broker-dealers, investment advisers and insurance companies Series 7 required Series 63 and 24 required within 180 days of hire Excellent written and verbal communication skills Ability to work independently and within a team environment Ability to organize and manage large amounts of diverse information and documentation Additional This position is based on-site in Dallas with the flexibility to work one day per week remotely #J-18808-Ljbffr Conselium Compliance Search