Compliance Associate

We are seeking an Associate Compliance to join our Compliance team and support our broker-dealer and investment adviser compliance programs. This is an excellent opportunity for an early-career professional who wants to develop a career in financial services compliance. You’ll gain hands-on experience across a broad range of areas, including SEC and FINRA regulations, regulatory monitoring, surveillance, marketing and advertising review, employee compliance, licensing, testing, regulatory examinations, and recordkeeping. You’ll work collaboratively with professionals across Compliance, Legal, Operations, Distribution, and Investments while building a strong foundation in the regulatory requirements that govern the financial services industry. What You'll Do As an Associate Compliance, you’ll support a variety of day-to-day compliance activities, including: Assist with compliance monitoring, testing, policies, procedures, and controlsMonitor regulatory developments and support compliance reviews and risk assessmentsSupport FINRA supervisory processes and regulatory documentationAssist with registered representative licensing records and Form U4/U5 administrationReview Outside Business Activity (OBA) and Private Securities Transaction (PST) submissionsAssist with sales practice surveillance and customer complaint trackingSupport Code of Ethics administration, including personal trading reports and employee certificationsAssist with Form ADV updates and investment adviser compliance activitiesCoordinate the submission and tracking of marketing and advertising materialsVerify required disclosures and supporting documentationAssist with FINRA advertising filings and related recordkeepingGather documentation for SEC and FINRA examinations and internal auditsTrack examination findings, remediation activities, and deadlinesPrepare routine compliance reports and metricsCoordinate employee compliance training, certifications, and annual attestations What We're Looking For Bachelor's degree in business, finance, accounting, economics, legal studies, or a related field, or equivalent education and experience0–2 years of experience in compliance, financial services, legal, audit, risk management, operations, or a related areaRelevant internship experience is a plusStrong attention to detail and organizational skillsAbility to review information and documentation for accuracy and completenessStrong analytical and problem-solving skillsExcellent written and verbal communication skillsAbility to manage multiple priorities and meet deadlinesHigh level of integrity, professionalism, and discretionCollaborative approach and ability to work effectively across departmentsProficiency with Microsoft Excel, Word, Outlook, and PowerPoint Professional Development This role provides broad exposure to both broker-dealer and investment adviser compliance and is designed to help you build your knowledge and experience within the Compliance function. Depending on business needs and assigned responsibilities, professional development may include: Securities Industry Essentials (SIE) ExaminationFINRA Series 7 licenseFINRA Series 24 license as responsibilities progressInvestment Adviser Certified Compliance Professional (IACCP) designation Annual Base Salary Range: $55,540 - $69,425. This position is eligible to participate in the company’s annual discretionary bonus program. Inland offers a competitive range of benefits for eligible Full-time employees: Medical/Dental/Vision insurance (PPO)Participation in the company 401(k) plan with a company matchVacation Time, Nine Paid Holidays, Three floating holidays per yearSick timeTuition reimbursement opportunityCompany-paid life insurance equaling your annual base salaryCompany-paid short-term and long-term disabilityPaid Parental Leave This position is eligible as an internal promotion opportunity. To learn more about the Benefits Inland offers its employees please click the link to learn more. As part of our commitment to an efficient and consistent hiring experience, The Inland Real Estate Group, LLC and its affiliated companies ("Inland") may utilize artificial intelligence ("AI") or automated technologies to assist in certain aspects of the recruitment and hiring process, including resume review and candidate screening. AI-enabled tools are used to support hiring decisions and are not used as the sole basis for employment decisions. All employment decisions are reviewed and made by qualified Inland professionals. We are a drug-free workplace. Pre-employment background checks and drug screening are conducted for all new hires in accordance with applicable laws and regulations. Inland is committed to equal employment opportunity and considers applicants for all positions without regard to race, color, religion, sex, national origin, age, sexual orientation, familial status, marital status, veteran status, disability, or any other status protected by applicable law. We do not use AI or any selection tools in a manner that results in unlawful discrimination based on any protected characteristic. If you require a reasonable accommodation or an alternative method of assessment during any stage of the recruiting process, please contact our Talent Acquisition team at recruiting@inlandgroup.com. Where required by applicable law, Inland will provide additional disclosures and obtain any necessary consent before using certain AI-enabled technologies. Candidates may request additional information regarding Inland’s use of AI in the hiring process at any time. We are an E-Verify employer. Please click the following link to learn more.