We are seeking an experienced Compliance Associate to support the firm's broker-dealer compliance program. This individual will work closely with senior Compliance leadership and business partners to ensure adherence to FINRA, SEC, and other applicable regulatory requirements.
Responsibilities:
Support the firm's overall broker-dealer compliance and supervisory program, including maintenance and implementation of Written Supervisory Procedures (WSPs).Conduct supervisory reviews and monitoring of brokerage activities, trading, customer accounts, and registered personnel.
Assist with regulatory filings, examinations, inquiries, and requests from FINRA, SEC, and other regulators.
Review and monitor employee activities, including outside business activities, personal securities accounts, and other required disclosures.
Support trade surveillance and review for potential regulatory or compliance issues.
Assist with AML and financial crime compliance, including KYC/CIP, transaction monitoring, suspicious activity reviews, escalations, and sanctions-related matters.
Identify compliance risks and work with business and operations teams to strengthen controls and remediate issues.
Assist with compliance testing, annual reviews, training, recordkeeping, and regulatory reporting.
Stay current on changes to FINRA and SEC rules and assess their impact on the firm.
Qualifications:
3+ years of broker-dealer compliance experience.
Active Series 7 and Series 24 licenses required.
Working knowledge of FINRA and SEC broker-dealer regulations.
Experience with AML/KYC and financial crime compliance.
Knowledge of brokerage operations, trading, clearing, and/or custody preferred.
Experience working with regulators and supporting regulatory examinations preferred.
Strong analytical, communication, and problem-solving skills.
Ability to work in a hands-on environment and manage multiple compliance responsibilities.
