COMPLIANCE ASSOCIATE

Description

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
• Aiding with external audit preparation and follow-up tasks
• Reassigning orphan accounts; establishing the correct codes associated with the assignment as needed

  Requirements

  • 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
  • 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

  Physical Requirements

  • Standing or sitting for extended periods of time in an office environment
  • Working on a computer for extended periods of time