Job Description

Compliance Associate

A well-established broker-dealer is looking for a proactive and detail-oriented Compliance Associate to join their team. This role involves working independently and taking the lead on projects that help reduce regulatory and operational risks.

What You’ll Do:

• Act as the main point of contact for the SEC, state, and international regulators – coordinate and respond to inquiries and exams, and prepare reports.
• Handle registration and licensing requests alongside the compliance team.
• Support core compliance tasks like:
• Reviewing employee trading activity and account statements
• Overseeing outside business activity and other employee disclosures
• Monitoring gifts, entertainment, and communication (e.g., email reviews)
• Managing regulatory filings and disclosures for investment advisors
• Identify ways to improve and streamline compliance processes—think automation and tech upgrades.
• Investigate compliance issues, recommend solutions, and escalate when needed.
• Prepare and submit quarterly and annual regulatory filings.

What You’ll Need:

• Bachelor’s degree in business or a related field.
• 3+ years of experience in financial services, ideally within broker-dealer compliance.
• SIE and Series 7 preferred (or ability to obtain them).
• Experience with compliance systems like MCO (MyComplianceOffice) is a plus.
• Familiarity with regulatory systems like FINRA Gateway and NFA Online Registration System is also a bonus.

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