Broker/Dealer Compliance, Associate

Responsibilities

• Coordinate FINRA filings and registered representative onboarding, including Forms U4, U5, BR, and BDS
• Support the broker-dealer’s Rule 3120 testing program
• Coordinate continuing education requirements and Annual Compliance Meeting logistics
• Maintain the branch inspection calendar
• Afford support additional aspects of broker-dealer compliance, as needed

Qualifications

• Minimum of 2 years of relevant experience in broker-dealer compliance within a FINRA-regulated environment, preferably at an institutional firm
• Strong understanding of securities laws, rules, and regulations applicable to FINRA members
• Highly detail-oriented with strong organizational and prioritization skills
• Ability to work both independently and collaboratively in a team environment
• Series 7 and Series 24 licenses required

Pay

The base annual salary range for this New Jersey-based position will be $100,000 to $115,000. Actual salary offered will be based on the candidate’s skill, experience, and qualification for the role.

Benefits

• Health, Dental and Vision insurance
• 401(k)
• Healthcare and Dependent Care Flexible Spending Account
• Short Term Disability insurance
• Long Term Disability Insurance
• Family Planning Support
• Paid Time Off
• Leave of Absences