Compliance Associate

Responsibilities: Coordinate securities licensing and registration matters, including onboarding, updates, renewals, and departures. Monitor employee compliance requirements, including personal securities transactions, conflicts, restricted securities, and related approvals. Oversee required continuing education, annual certifications, and other recurring employee compliance obligations. Assist with compliance training for new and existing employees and track completion requirements. Review employee Gifts & Entertainment activity and administer associated disclosures and approvals. Perform communications monitoring and other surveillance activities, research exceptions, and escalate potential concerns. Assist with responses to FINRA and other regulatory requests, including collecting records and preparing supporting documentation. Participate in regulatory and branch examinations and help coordinate document production and employee preparation. Update policies, procedures, and internal guidance to reflect regulatory developments and evolving business activities. Recommend improvements to compliance processes, controls, and reporting mechanisms. Provide compliance support for new systems and technology initiatives, including the responsible use of AI and appropriate user-access controls. Work closely with business and control functions to resolve compliance matters and maintain an effective regulatory framework.

Qualifications: Prior experience in broker-dealer, securities, or financial services compliance. Practical understanding of FINRA rules and broker-dealer regulatory requirements. Experience in one or more areas such as licensing and registrations, employee compliance, surveillance, regulatory examinations, or regulatory inquiries. Ability to interpret regulations and develop clear, practical compliance guidance. Strong writing, analytical, organizational, and problem-solving skills. High attention to detail and ability to manage competing priorities and deadlines. Strong interpersonal skills with the ability to work effectively across different levels of an organization.