Job Description

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.

• 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.

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