Compliance Associate
VirtualVocationsAppleton, Wisconsin, United Statesjob_description.job_card.variable_days_ago
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A company is looking for a Compliance Associate to assist in all aspects of the compliance program.
Key Responsibilities
Maintain and update supervisory documents to ensure compliance with regulatory standards
Conduct reviews of regulatory disqualifying events and social media for compliance and quality assurance
Support regulatory exams by preparing key data and documentation and streamline compliance processes
Required Qualifications
1+ years of experience in a financial services company
FINRA SIE preferred
Associate's degree
Ability to evaluate risk and make impactful decisions
Solution-focused approach to compliance processes
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Compliance Associate • Appleton, Wisconsin, United States
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